Toolkits and Resource Library for Airports and Unmanned Aircraft Systems (2020)

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5 Toolkit 1a: Safety Management System Template for Managing UAS in the Vicinity of Airports Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS

6 Contents  1  Safety Policy and Objectives .............................................................................................. 8  Safety Accountability ........................................................................................................................................ 8  Appointment of Key Safety Groups and Personnel ................................................................................... 8  1.2.1  Initial Review Committee (IRC) ............................................................................................................................... 8  1.2.2  Safety Review Board (SRB) ....................................................................................................................................... 8  1.2.3  UAS Oversight Committee (UASOC) .................................................................................................................... 8  1.2.4  Accident Investigation Board (AIB) ........................................................................................................................ 9  Emergency Response Planning ...................................................................................................................... 9  UAS Operational Safety .................................................................................................................................. 9  1.4.1  Hazard Safety Zones .................................................................................................................................................. 9  General Operational Guidance ...................................................................................................................... 9  Obtaining Approval to Operate UAS ......................................................................................................... 10  Obtaining a Certificate of Authorization/Waiver (COA) ........................................................................ 10  UAS Registration Requirements .................................................................................................................. 10  Model Aircraft/Hobbyist Use ...................................................................................................................... 10  2  Safety Risk Management ................................................................................................... 11  Risk Analysis Process ..................................................................................................................................... 11  2.1.1  2Hazard Identification ............................................................................................................................................. 11  2.1.2  Risk Analysis ............................................................................................................................................................. 11  2.1.3  Required definitions: ................................................................................................................................................ 12  2.1.4  Risk Assessment ....................................................................................................................................................... 14  Risk Control .................................................................................................................................................... 14  Risk Assessment and Mitigation .................................................................................................................. 14  2.3.1  Risk Evaluation ......................................................................................................................................................... 14  2.3.2  2.3.2 Recording the Risk Management Process ................................................................................................... 15  3  Safety Assurance ............................................................................................................... 16  Safety Performance Monitoring and Measurement .................................................................................. 16  3.1.1  Audits ......................................................................................................................................................................... 16  Continuous improvement of the SMS ........................................................................................................ 16  3.2.1  Safety Management System (SMS) Review ........................................................................................................... 16  Monitoring, Review and Continuous Improvement ................................................................................. 16  Mandatory Incident/Accident Reporting System ..................................................................................... 16  Anonymous UAS Safety Reporting System (AUSRS) .............................................................................. 16  Safety Reviews ................................................................................................................................................. 16  4  Safety Promotion .............................................................................................................. 17  Training ............................................................................................................................................................ 17 

7   Active Safety Communication ...................................................................................................................... 17  5  Appendix 1: UAS Operation Request Form ..................................................................... 18  6  Appendix 2: Initial Risk Assessment Form ...................................................................... 19  7  Appendix 3: Sample On-Site Risk Assessment ................................................................ 21  8  Appendix 4: Sample UAS Incident/Accident Report ...................................................... 22     

8 1 Safety Policy and Objectives Safety Accountability Delegate who is responsible for unmanned aircraft systems (UASs) and safety performance. Appointment of Key Safety Groups and Personnel Define key safety groups in the subsections. Here provide a brief summary. Listed here are the councils, committees, and boards that will work towards the goal of the Safety Management System (SMS). Each should be tailored to your specific organization Assembled groups: 1.2.1 Initial Review Committee (IRC) The initial process for risk assessment begins with an IRC. The IRC will determine if the risk is legal, insurable, and if the reward outweighs the risk. The IRC consists of the following members:  Member 1  Member 2  Member 3 1.2.2 Safety Review Board (SRB) The Safety Review Board assesses cases deemed worthy of a more in-depth analysis by the IRC The SRB can also convene a group of subject matter experts to assist in this process. 1.2.3 UAS Oversight Committee (UASOC) A UASOC will provides organizational oversight for all risks associated with the operation and/or use of UAS. The committee will be comprised of senior leadership and other key organizational stakeholders. Committee Goals:  Goal 1  Goal 2  Goal 3 Committee Members:  Member 1  Member 2  Member 3 The committee will meet a minimum once per quarter, or as necessary to meet its goals.    

9   1.2.4 Accident Investigation Board (AIB) An AIB will be convened as appropriate is to find the root cause of accidents/incidents and prevent them from reoccurring. AIB Members:  Chair  Representative 1  Representative 2  Other applicable members Emergency Response Planning All entities operating UAS must follow the Emergency Response Plan in the event of an incident or accident. Emergency Response notifications will be dictated by the incident type. Those types are:  Property damage less than $X  Property damage greater than $X  Accident/Incident with Minor Injury  Accident/Incident with Major Injury  UAS Damage Only  Other types If an Emergency Response Plan (ERP) does not exist, define duties and responsibilities here. Responsibility for initiating the plan, duties and responsibilities are outlines in an ERP. UAS Operational Safety Define safety requirements for operations. This could include a list of personal protective equipment. 1.4.1 Hazard Safety Zones Define hazard zones and safety precautions for all phases of flight. General Operational Guidance Define general operational guidance for UAS operations. Possible topics include:  Specify organization member responsible for reviewing requests of activities for compliance with laws, policies, and regulations.  Define specific operational limits set forth for operations: o Regulatory / legal limits and o Organizational policy limits.

10   Obtaining Approval to Operate UAS Explains how to submit a UAS activity request with your organization Obtaining a Certificate of Authorization/Waiver (COA) A COA is an authorization issued by the Federal Aviation Administration (FAA) to an operator for a specific UAS activity. After a complete application is submitted, FAA conducts a comprehensive operational and technical review. If necessary, provisions or limitations may be imposed as part of the approval to ensure the UA can operate safely with other airspace users. In most cases, FAA will provide a formal response within 60 days from the time a completed application is submitted. Applications are submitted on the FAA’s UAS website by selecting the “Request a Waiver or Operation in Controlled Airspace” option. Each requestor should make note of the FAA authorization number for tracking purposes. UAS Registration Requirements Owners must register their UAS online if it meets the following guidelines:  Weighs more than 0.55 lbs. (250 g) and less than 55 lbs. (25 kg). Unmanned Aircraft weighing more than 55 lbs. cannot use this registration process and must register using the Aircraft Registry process. Up to date information on UAS registration may be found at: http://www.faa.gov/uas/registration/ Model Aircraft/Hobbyist Use Remote Controlled (RC) aircraft do not follow the same rules and regulations as UAS. Define those regulations and rules here and how RC aircraft will be addressed.

11 2 Safety Risk Management Safety Risk Management (SRM) is used to analyze systems, processes, and/or procedures to understand the critical characteristics of the risks associated with those activities and the operational environment in which they take place. The process is depicted in Figure 2.1 below and the individual process steps are covered in Section 2.1.     Figure 2.1 sample SRM process Risk Analysis Process 2.1.1 Hazard Identification Define your organization’s process for identifying risks. 2.1.2 Risk Analysis This section should identify:  Defines under what conditions the safety risk assessment is initiated.  Defines process for analyzing risks. o An example process for analyzing risk could include: 1. Evaluate likelihood of an incident occurring and the resulting severity of that incident. 2. Identify hazards that contribute to the risk and their associated consequences of each hazard.

12 3. Determine the Risk Assessment Code based upon likelihood and severity of identified hazards 4. Determine if assessed risk is suitable for approval 5. If not suitable, further assess hazard and implement control measure(s) to mitigate hazard 6. Determine the Risk Assessment Code following implementation of control measure(s) 7. Indicate the final code for the (now acceptable risk)   Figure 2.2 UAS Risk Assessment Matrix 1 sample 2.1.3 Required definitions: LIKELIHOOD Frequent: Likely to occur many times; Will be continuously experienced unless action is taken to change events. Likely: The activity or event is expected to occur 50-90% of the time; Will occur often if events follow a normal process or procedure and is repeatable. Occasional: infrequent or irregularly, or 25-49% of the time. Events are sporadic in nature. Seldom: Occur intermittently, or 1-25% of the time; Not likely to happen. Improbable: being almost inconceivable that the event will occur. Less than 1% chance of occurrence. SEVERITY Catastrophic:  Equipment destroyed  Multiple Deaths  System wide shut-down and negative revenue impact  Large environmental impact  Loss (or breakdown) of an entire system or sub system  Security criminal investigations and penalties to groups or individuals  Willful violation of any safety regulation that could result in serious injury or death  Potential of suspending flight operations Risk Likelihood Risk Severity Catastrophic A Critical B Moderate C Minor D Negligible E 5 – Frequent 5A 5B 5C 5D 5E 4 – Likely 4A 4B 4C 4D 4E 3 – Occasional 3A 3B 3C 3D 3E 2 – Seldom 2A 2B 2C 2D 2E 1 – Improbable 1A 1B 1C 1D 1E

13  Potential for uncontrollable public relations event(s) Critical  A large reduction in safety margins, physical distress and/or workload such that operators cannot be relied upon to perform their tasks accurately or completely  Serious injury or death, multiple long-term injuries and personal claims  Accident or Serious incident with injuries and/or major to moderate equipment damage  Potential criminal penalty  Medium environmental impact  Potential moderate damage to an aircraft (out of service >5 days)  A non-compliance finding that results in major systems, process or operational degradation  A security finding requiring immediate corrective action prior to continued operation  Reoccurring violation of any safety regulation resulting in serious injury  An employee/customer injury/broken bone. Injury resulting in hospitalization (other than observation)  Moderate Enterprise risk involving executive management involvement  Very large public relations impact requiring resources to manage information  System deficiencies leading to poor flight line performance and chronic disruption to the flight activity schedules  Potential loss (breakdown) of entire subsystem or divisional operation  Production errors containing regulatory violations that pose direct consequence to the operation Moderate  Accident or incident with minor injury and/or minor aircraft damage  Non-life threatening employee/customer injury, with recording of Lost Time Injury  Small environmental impact  Security finding requiring a corrective action plan  Production element errors that may pose indirect consequences to the operation  Aircraft damage resulting in out of service < 5 days  Potential to cause sustained irregular operations until issue is resolved  Additional public relations efforts and resources required Minor  No regulatory action  No environmental impact anticipated  No evident security threat affected  Minor errors in completed University policy and procedures  Production errors containing quality system and/or opportunities for improvement  No equipment damage to slight damage – outcome deferrable with no operational impact  $0 Regulatory fines  No public relations impact Negligible  No regulatory violation

14  No environmental impact  No security element affected  Initiative delivered against University policy and procedures  No public relations impact  No aircraft damage – no operational impact  Finding element present limited opportunities for improvement  2.1.4 Risk Assessment When the hazard is identified, it is brought into the risk assessment process and given a Risk Assessment Code (RAC), from Figure 2.2 above. The RAC will be analyzed to identify an appropriate decision level. Once the appropriate decision level is identified, it will be reviewed for acceptance. RAC Criteria Accountability 5A, 5B, 5C, 4A, 4B, 3A Unacceptable under existing circumstances, requires immediate action. 5D, 5E, 4C, 3B, 3C, 2A, 2B Manageable under risk control & mitigation. Requires authorized decision. 4D, 4E, 3D, 2C, 1A, 1B Acceptable after review of the operation. Requires continued tracking and recorded action plans. 3E, 2D, 2E, 1C, 1D, 1E Acceptable with continued data collection and trending for continuous monitoring. On-Site Risk Assessment (OSRA) (Appendix 3) should also be required Risk Control Risk controls involve selecting and implementing one or more control methods for mitigating risks. Selecting the most appropriate risk treatment option involves balancing the costs and efforts of implementation against the benefits derived, with regard to legal, regulatory, and other requirements such as social responsibility and the protection of the natural environment. Risk control measures can also introduce secondary risks that need to be assessed, treated, monitored and reviewed. These secondary risks will be incorporated into the same treatment plan as the original risk and not treated as a new risk. Risk Assessment and Mitigation 2.3.1 Risk Evaluation The purpose of risk evaluation is to assist in making decisions, based on the outcomes of risk analysis, about which risks need treatment and the priority for treatment implementation. Risk evaluation involves comparing the level of risk found during the analysis process with risk criteria established when the context was considered.

15 2.3.2 Recording the Risk Management Process Risk management activities will be traceable. In the risk management process, records provide the foundation for improvement in methods and tools, as well as in the overall process. The following forms found within this policy will be used to document the Risk Management Process: 1. UAS Request Form 2. UAS Initial Risk Assessment Form 3. OSRA Form 4. Incident/Accident Form 5. Safety Reporting Form    

16 3 Safety Assurance Safety Performance Monitoring and Measurement 3.1.1 Audits This section defines the types of audits that will take place and their definition and explanation. Create sub sections for the types of audits such as external, committee, insurance, and self-audits. Continuous Improvement of the SMS 3.2.1 SMS Review This section covers how often will the SMS document be reviewed and by whom. Monitoring, Review and Continuous Improvement Defines the role of monitoring the SMS program, performing periodic review, and implementing continuous improvement on the process. Mandatory Incident/Accident Reporting System Defines who will report and define what an incident and accident is, include an appendix for a report template. Identify who will be reviewing reports. Anonymous UAS Safety Reporting System (AUSRS) Define a mechanism for anonymous reporting unsafe behavior. Define who will review these reports, and how frequently they will be reviewed. Safety Reviews Defines organizational safety reviews and the inclusion of the SMS in those reviews. Defines how any failures of the SMS to meet organizational safety policies are addressed and applied to the SMS to remedy those failures.

17 4 Safety Promotion Provide a statement summarizing the organization’s role in promoting a culture of safety. Training Defines the type(s) of training offered to personnel to ensure compliance with the SMS. Defines who will be included in the training. Active Safety Communication Explains what needs to be communicated and how that information will be communicated.

18 5 Appendix 1: UAS Operation Request Form UAS Operation Request Form *Requests must be submitted no later than X business days before the event Submitter Information Name: E-mail: Affiliation: Date of Request: Proposed location: Event Information Aircraft make/model: Aircraft weight (pounds): FAA registration number (if applicable): Date of Event: UAS Pilot in Command (name): Name of Event: Detailed Description of Event: Date Sent to Risk Manager: IRC Coordination (to be completed by AVP safety/risk) Date Received Approve Disapprove Suggest SRB Reviewer 1 Reviewer 2 Reviewer 3 Reviewer 4 (if needed) Does a Safety Review Board (SRB) need to be convened? If Yes, Proposed Date for SRB: Final Decision Reviewer Comments: Date: Authorization Number: By submitting this UAS Operation Request, the applicant acknowledges they have read, understand and agree to comply with all applicable regulations and policies related to UAS operations.    

19 6 Appendix 2: Initial Risk Assessment Form INITIAL OPERATIONS RISK ASSESSMENT DOCUMENTATION Risk Assessment For: Organization & Location Today’s Date: Click for date Reason for Risk Assessment (select all that apply): ☐New System Design ☐Modification to an Existing Operation or Procedure ☐ Change to Existing System Design ☐Operational Environmental Change ☐New Operational Procedure ☐Ineffective Risk Control ☐Other: PROCESS/SYSTEM ANALYSIS Brief description of process of system to be assessed: RISK ANALYSIS / HAZARD IDENTIFICATION HAZARD POTENTIAL CONSEQUENCE(S) H1 H2 H3 H4 H5 (INITIAL) RISK ASSESSMENT Initial Risk Assessment Code: Risk Likelihood -Select- Risk Severity -Select- PROPOSED RISK CONTROL(S) H1 H2 H3 H4 H5 (FINAL) RISK ASSESSMENT Final Risk Assessment Code: Risk Likelihood -Select- Risk Severity -Select- Risk Likelihood Risk Severity Catastrophic (A) Critical (B) Moderate (C) Minor (D) Negligible (E) 5 – Frequent 5A 5B 5C 5D 5E 4 – Likely 4A 4B 4C 4D 4E 3 – Occasional 3A 3B 3C 3D 3E 2 – Seldom 2A 2B 2C 2D 2E 1 – Improbable 1A 1B 1C 1D 1E

20 RISK Mitigation Plan System/Project: _ Responsible Manager: _ Hazard Control Substitute Risk Residual Risk H1 H2 H3 H4 H5 H6 H7 H8 H9 H10    

21 7 Appendix 3: Sample On-Site Risk Assessment 1 2 3 4 5 Rating O pe ra tio na l F ac to rs Type of Operation Normal Demo Training/ Recurrency Mx Checkout Test Flight Duration of Operation < 1 hour 1-2 hours 2-4 hours 4-6 hours >6 hours Simultaneous Operations 1 AV 2 AVs 3 AVs >3 AVs Pi lo t i n Co m m an d Fa ct or s Hours of Rest in Last 24 Hours >8 7-8 5-6 3-5 <3 # of Flights in Type >100 21-100 11-20 5-10 <5 # of Flights in Last 90 Days >10 6-10 3-5 1-2 0 Total UAS Hours >100 51-100 26-50 10-25 <10 E nv iro nm en ta l F ac to rs Current Wind <5 kts 5-10 kts 11-14 kts 15-20 kts >20 kts Forecast Wind for Landing Time <8 kts 9-12 kts 13-15 kts 16-20 kts >20 kts Weather Forecast for Operation Clear Reducing Visibility Precipitation T-Storm Surrounding Area Open Field (or Indoor, with no spectators) Vegetation Mountainous (or Indoor, with spectators) Urban Crowds/ Assemblies Total Risk Score→ No unusual hazards. Use normal flight planning and operating procedures. Requires PIC signoff. <25 Somewhat elevated risk. Conduct flight planning with extra care. Review personal minimums and operating procedures to ensure that all standards are being met. Consider alternatives to reduce risk. Requires Flight Training Standards Manager signoff. 25-35 (or any 2 single scores of 4) Conditions present much higher than normal risk. Conduct flight planning with extra care and review all elements to identify those that could be modified to reduce risk. If available, consult with a more experienced pilot or instructor for guidance before flight. Develop contingency plans before flight to deal with high risk items. Decide beforehand on alternates and brief crewmembers on special precautions to be taken during the flight. Consider delaying flight until conditions improve and risk is reduced. Requires AS Department Chair signoff. >35 Total (or any single score of 5)

22 8 Appendix 4: Sample UAS Incident/Accident Report Name: E-mail: Phone: Association: Aircraft Registration Number: Accident Date: Location of Accident: Accident Involved (e.g. serious injury, death, property damage greater than $500—other than Unmanned Aircraft):    

23 Call Out Protocol / Chain of Command Property Damage Less than x$ Property Damage Greater than x$ Minor Injury Major Injury UAS Damage Only Public Relations Please refer to the SMS case study for an example of a call out protocol. This chart should be used to quickly find a point of contact for a specific accident or incident. The first row would be the first point of contact.

24 Toolkit 1b: Safety Management System Example for Managing UAS in the Vicinity of Airports Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS

25 Contents 1 Safety Policy and Objectives ............................................................................................ 28 Safety Accountability ...................................................................................................................................... 28 Appointment of Key Safety Groups and Personnel ................................................................................. 28 1.2.1 Initial Review Committee (IRC) ............................................................................................................................. 28 1.2.2 Safety Review Board (SRB) ..................................................................................................................................... 28 1.2.3 UAS Oversight Committee (UASOC) .................................................................................................................. 29 1.2.4 Accident Investigation Board (AIB) ...................................................................................................................... 30 Emergency Response Planning .................................................................................................................... 30 UAS Operational Safety ................................................................................................................................ 31 1.4.1 Hazard Safety Zones ................................................................................................................................................ 31 General Operational Guidance .................................................................................................................... 31 Obtaining Approval to Operate UAS ......................................................................................................... 32 Obtaining a Certificate of Authorization/Waiver (COA) ........................................................................ 32 UAS Registration Requirements .................................................................................................................. 33 Model Aircraft/Hobbyist Use ...................................................................................................................... 33 2 Safety Risk Management .................................................................................................. 34 Risk Analysis Process ..................................................................................................................................... 34 2.1.1 Hazard Identification ............................................................................................................................................... 34 2.1.2 Risk Analysis ............................................................................................................................................................. 35 2.1.3 Required definitions: ................................................................................................................................................ 36 2.1.4 Risk Assessment ....................................................................................................................................................... 38 Risk Control .................................................................................................................................................... 38 Risk Assessment and Mitigation .................................................................................................................. 38 2.3.1 Risk Evaluation ......................................................................................................................................................... 38 2.3.2 Recording the Risk Management Process ............................................................................................................. 38 3 Safety Assurance ............................................................................................................... 40 Safety Performance Monitoring and Measurement .................................................................................. 40 3.1.1 Audits ......................................................................................................................................................................... 40 3.1.2 External Audits ......................................................................................................................................................... 41 3.1.3 Self-Audits ................................................................................................................................................................. 41 3.1.4 Advisory Committee Audits ................................................................................................................................... 42 3.1.5 Insurance Audits ....................................................................................................................................................... 42 Continuous improvement of the SMS ........................................................................................................ 42 3.2.1 Safety Management System (SMS) Annual Review ............................................................................................. 42 Monitoring, Review and Continuous Improvement ................................................................................. 42

26 Mandatory Incident/Accident Reporting System ..................................................................................... 42 Anonymous UAS Safety Reporting System (AUSRS) .............................................................................. 43 Safety Reviews ................................................................................................................................................. 43 4 Safety Promotion .............................................................................................................. 44 Training ............................................................................................................................................................ 44 Active Safety Communication ...................................................................................................................... 44 5 Appendix 1: UAS Operation Request Form ..................................................................... 45 6 Appendix 2: Initial Risk Assessment ................................................................................ 46 7 Appendix 3: Sample On-Site Risk Assessment ................................................................ 48 8 Appendix 4: Sample UAS Incident/Accident Report ...................................................... 49 9 Appendix 5: DB Sample Emergency Response Plan ....................................................... 51 10 Appendix 6: Audit Process Policy .................................................................................... 55 11 Appendix 6: Combined Audit Schedule ........................................................................... 58

27 “Our Commitment to Safety Culture Statement” Embry-Riddle’s unique Safety Culture has been the foundation for our University’s success throughout the years. It is embedded throughout every function within the University and instilled within every member of our community from day-one. The well-being and safety of our students, faculty, and staff is of paramount importance. Safety is an area that requires deliberate effort and a conscious commitment on the part of everyone in order to make a positive difference. Therefore, I pledge that no punitive action will be taken against any individual for reporting a safety hazard or concern. As the University President, I am committed, and look forward to working alongside each of you to ensure the safest environment we can collectively achieve. P. Barry Butler, PhD President, Embry- Riddle Aeronautical University November, 2017

28 1 Safety Policy and Objectives Safety Accountability The overall implementation of the Safety Management System (SMS) lies with the Associate Vice President for Safety/Risk (AVP); who is ultimately responsible for the safety performance of ERAU as a whole. The AVP has delegated the safety of all Unmanned Aircraft Systems (UAS) operations to each individual Dean of a given College performing UAS operations. As such, each Dean is required to abide by this SMS in its entirety. Each Dean may delegate a UAS Safety Representative to oversee the College UAS Safety Program Appointment of Key Safety Groups and Personnel The assembling of several councils, committees, and governing boards is essential in providing University leadership guidance on various aspects regarding the ERAU SMS. The members of each established group ensure that there is proper oversight at each operational level to ensure that the components of the SMS are in fact working towards improving both flight and UAS safety. To ensure that current and proposed operations meet the stringent safety requirements of ERAU, the following groups shall be assembled: 1.2.1 Initial Review Committee (IRC) The initial process for risk assessment begins with an IRC. The IRC will determine if the risk is legal, insurable, and if the reward outweighs the risk. The IRC consists of the following members: • University Risk Manager • University Legal Counsel • University Insurance Manager Requests for risk assessment will be made through the use of the Risk Tracking/Request Form (Attachment A). Submitters will fill out the form and coordinate it with their respective department leads. 1.2.2 Safety Review Board (SRB) If the IRC determines that the risk requires a more in-depth analysis, then a SRB will be formed. The SRB will be chaired by the Associate Vice President for Safety/Risk. The Associate Vice President for Safety/Risk will convene a group of subject matter experts to assist in the risk assessment process to further determine if the risk proposed is an acceptable one. The SRB may request additional information or clarification from the requestor, and may provide direction or other requirements for the UAS operation to take place. Once the SRB is completed, a memorandum for record will be placed on file to ensure that proper safety oversight exits. The SRB will: • Identify risks associated with the proposed UAS operation.

29 • Identify the likelihood and severity levels of risks and mitigate them to acceptable levels. • Identify appropriate levels of risk authority for the planned activity. 1.2.3 UAS Oversight Committee (UASOC) The UASOC will provide oversight for all risks associated with the operation and/or use of UAS within every department of ERAU. Involvement of the committee in evaluating curriculum, operations, or directives of the departments involved with UAS operations will be from a safety and risk assessment point of view. The committee will only advise on how the use of UAS in each respective activity could impact risk and safety. Committee Goals: • Identify current UAS related risks as they pertain to academics, operations, research, and technology development. • Promote the ERAU SMS within all UAS involved departments. • Provide safety and risk assessment oversight for each department’s involvement in UAS operations. • Conduct SRB as needed for situations outlined in the ERAU SMS. Committee Members: The membership of the UASOC consists of members of senior leadership of the University and other persons as deemed appropriate. The initial members will include: • Committee Chair: University Chief Financial Officer (CFO) • Associate Vice President for Safety/Risk Management • UAS Law Advisor • Senior UAS Technical Advisor, Daytona • Senior UAS Technical Advisor, Prescott • Chair Department of Flight, Worldwide • College of Engineering, Daytona • College of Engineering, Prescott • Department of Engineering, Worldwide • College of Aviation, Daytona • College of Aviation, Prescott • College of Aeronautics, Worldwide • Eagle Flight Research Center (EFRC) • Aviation Technical Advisor, Daytona

30 • Aviation Technical Advisor, Prescott • Student Clubs, Daytona • Student Clubs, Prescott • Student Clubs, Worldwide • ERAU Asia The committee will meet at a minimum once per quarter, or as necessary to meet its goals. 1.2.4 Accident Investigation Board (AIB) An AIB will be convened as appropriate is to find the root cause of accidents/incidents and prevent them from reoccurring. The University Associate Vice President for Safety/Risk Management will convene the AIB. Members of the AIB must have no affiliation with individuals under investigation/involved in the accident or incident. The AIB consists of the following members: • Chair – Associate Vice President for Safety/Risk Management • UAS Department Representative • Aeronautical Science Department Faculty Representative (as applicable) • Aeronautical Engineering Department Representative (as applicable) • Aircraft Maintenance Representative (as applicable) • Director of Aviation Safety (as applicable) • Other members as applicable At no time will the findings or results of the investigation be shared with anyone outside the AIB. All findings are confidential and should not be disclosed unless otherwise directed by the Chair of the Board. Emergency Response Planning All ERAU entities operating UAS must follow the Emergency Response Plan in the event of an incident or accident. Emergency Response notifications will be dictated by the incident type. Those types are: • Property Damage less than $500 • Property Damage greater than $500 • Accident/Incident with Minor Injury • Accident/Incident with Major Injury • UAS Damage ONLY • University Reputation Inhibiting Accident/Incident

31 It is the responsibility of the Person In Charge if Pilot In Command (PIC) is not on site to initiate the Emergency Response Plan. The duties and responsibilities of the Accident Response Team are described in the Emergency Response Plan. UAS Operational Safety Due to the many risk factors associated with the extreme variety of aircraft available, each aircraft type will be assigned personal protective equipment (PPE) during operations that will be documented within the Standard Operating Procedures (SOP). PPE requirements will be determined by an initial SRB. PPE items may include, but not limited to: • Safety Glasses • Face Shields • Gloves • Protective Aprons • Protective Sleeves • No Opened Toed Shoes or sandals 1.4.1 Hazard Safety Zones Any multi-rotor platform regardless of its size will have a minimum hazard area of 3ft. At no time shall any person or property enter the hazard area during operations to include launching, flight, and landing (unless required during an emergency situation). Hazard areas will vary in size based on individual aircraft characteristics as deemed in the SRB and will be noted in each aircrafts SOP. General Operational Guidance The Associate Vice President for Safety and Risk Management will review requests for UAS activities to ensure compliance with applicable federal, state, and local laws and regulations and policy requirements. The IRC will review any requests for use of UAS throughout the University. This initial working group will evaluate requests for use of a UAS to determine if use of the equipment is within acceptable safety parameters. If the risk or process presented is acceptable, and/or control measures can be employed to satisfactorily mitigate the risk(s) associated with the proposed operations, the IRC will close out the request for further risk assessment. Federal Aviation Administration (FAA) regulations; federal, state, and local laws; and applicable university policies must be followed in conjunction with any UAS activities. This includes but is not limited to: • FAA Airmen Certificate requirements, • FAA Aircraft Registration requirements, • University policies regarding access to campus.

32 UAS operated in violation of any federal, state, or local laws or contract provisions will be subject to grounding. UAS owned by ERAU will be operated under the authorization of the University and the FAA as situations warrant: • Authorizations could be in the form of written University approval, a Public Use Certificate of Authorization (COA), or Letter of Agreement (LOA) with the local Air Traffic Control (ATC) and will be limited to a specific location and outline the conditions, parameters, and limitations of flight operations. • A UAS or model aircraft may not be used to monitor or record activities where there is a reasonable expectation of privacy. • Any individual or organization found to be operating a UAS on university property or at a university sponsored event in violation of their FAA-approved status, or any federal, state, and local laws or regulations, or in violation of applicable university policies, may be directed by authorized university representatives to cease operation of the UAS immediately unless or until approval is obtained. Under FAA guidelines, Temporary Flight Restrictions may be implemented on university property or at any university sponsored event, which prohibit any type of UAS operations from taking place (e.g., university sporting events, Daytona 500 Race Etc.). The university may issue additional ‘No Drone Zones’ on university property or at any university sponsored event, which prohibit any type of UAS operations from taking place. Obtaining Approval to Operate UAS Individuals (faculty, staff, graduate associates, student employees, students, volunteers, vendors, and invitees) or organizations seeking to operate a UAS on university property or at a university sponsored event must submit a completed UAS Request Form to riskmgmt@erau.edu at least two weeks in advance. The following are the steps to navigate to the UAS operations request form: • Log in to ERNIE, go to the Departments Tab, then go to the University Safety Office homepage, and obtain the UAS Operation Request Form. If web access is not available send an e-mail to the Safety/Risk office (riskmgmt@erau.edu) or call 386-226-4926 to request the UAS Operation Request Form. • Fill out the UAS Operation Request Form (see attachment) and e-mail the completed form to riskmgmt@erau.edu. • The University Safety/Risk office will coordinate with the requester to conduct a safety review to ensure all safety aspects of the event have been considered. Submitter should expect no more than five days to receive a decision on the request. Obtaining a Certificate of Authorization/Waiver A COA is an authorization issued by the FAA to an operator for a specific UA activity. After a complete application is submitted, FAA conducts a comprehensive operational and technical review. If necessary, provisions or limitations may be imposed as part of the approval to ensure the UA can

33 operate safely with other airspace users. In most cases, FAA will provide a formal response within 60 days from the time a completed application is submitted. Applications are submitted on the FAA’s UAS website by selecting the “Request a Waiver or Operation in Controlled Airspace” option. Each requestor should make note of the FAA authorization number for tracking purposes. UAS Registration Requirements Owners must register their UAS online if it meets the following guidelines: • Weighs more than 0.55 lbs. (250 g) and less than 55 lbs. (25 kg). Unmanned Aircraft weighing more than 55 lbs. cannot use this registration process and must register using the Aircraft Registry process. Up to date information on UAS registration may be found at: http://www.faa.gov/uas/registration/ Model Aircraft/Hobbyist Use ERAU recognizes the hobby and recreational use of remote controlled (RC) aircraft. Users of RC Aircraft are restricted to operations in designated areas dictated by LOA established with the local ATC Tower and the University. Individual University locations are responsible for ensuring the existence and maintenance of an LOA with their local airports. Users that wish to operate as hobbyist on ERAU campuses must be part of a recognized club/organization sponsored by ERAU. These club/organizations include: • RC Club (Daytona Beach) • UAS Technology Club (UAS Tech.) (Daytona Beach) Each member shall receive a member card validating their affiliation with a university based organization and must have this member card with them at all times of hobbyist operation on ERAU campuses. Failure to produce this member card upon request will result in termination of any activity on campus property. An ERAU Identification card WILL NOT suffice as proof of membership.

34 2 Safety Risk Management Safety Risk Management (SRM) is used to analyze systems, processes, and/or procedures to understand the critical characteristics of the risks associated with those activities and the operational environment in which they take place. The process is depicted in Figure 2.1 below and the individual process steps are covered in Section 2.1. Figure 2.1 ERAU SRM Process Risk Analysis Process 2.1.1 Hazard Identification The UAS Safety Manager maintains an analysis system using data derived from ERAU accident, incident, and hazard reports. The purpose of the analysis program is to identify trends and areas requiring management action. The Initial Risk Assessment Form will be utilized to identify initial operational risk and hazards.

35 2.1.2 Risk Analysis ERAU employs a SRB to perform an Initial Safety Risk Analysis (ISRA) to analyze all hazards that impact a given UAS operations’ possible risks, and to develop controls to mitigate those risks. There are several identified situations where the SRM can be initiated, they are: • New procedures • Change to an existing procedure • New system design • Change to an existing system design • New operation • Change in an operational environment The process for analyzing a risk is as follows: 1. Evaluate the likelihood of the incident occurring and the severity of that incident. 2. Identify the hazards that contribute to the risk and list associated consequences of each hazard. 3. Prior to implementing a control measure, assign a Risk Assessment Code for likelihood from 1 (improbable) to 5 (frequent), and a risk severity from negligible (E) to catastrophic (A) to indicate the urgency that is required to resolve the hazard. 4. Determine if the risk is now suitable (ALARP). 5. Review safety information that is relevant to the particular hazard and implement control measures. Document steps taken (control measures) to reduce or eliminate the risk. 6. After implementing (a) risk control measure(s), re-assign a Risk Assessment Code for likelihood from 1 (improbable) to 5 (frequent), and a risk severity from negligible (E) to catastrophic (A). 7. Indicate the final code for the (now acceptable) risk. Figure 2.2 UAS Risk Assessment Matrix 1 Risk Likelihood Risk Severity Catastrophic A Critical B Moderate C Minor D Negligible E 5 – Frequent 5A 5B 5C 5D 5E 4 – Likely 4A 4B 4C 4D 4E 3 – Occasional 3A 3B 3C 3D 3E 2 – Seldom 2A 2B 2C 2D 2E 1 – Improbable 1A 1B 1C 1D 1E

36 2.1.3 Required definitions: LIKELIHOOD Frequent: Likely to occur many times; Will be continuously experienced unless action is taken to change events. Likely: The activity or event is expected to occur 50-90% of the time; Will occur often if events follow a normal process or procedure and is repeatable. Occasional: infrequent or irregularly, or 25-49% of the time. Events are sporadic in nature. Seldom: Occur intermittently, or 1-25% of the time; Not likely to happen. Improbable: being almost inconceivable that the event will occur. Less than 1% chance of occurrence. SEVERITY Catastrophic: • Equipment destroyed • Multiple Deaths • System wide shut-down and negative revenue impact • Large environmental impact • Loss (or breakdown) of an entire system or subsystem • Security criminal investigations and penalties to groups or individuals • Willful violation of any safety regulation that could result in serious injury or death • Potential of suspending flight operations • Potential for uncontrollable public relations event(s) Critical • A large reduction in safety margins, physical distress and/or workload such that operators cannot be relied upon to perform their tasks accurately or completely • Serious injury or death, multiple long-term injuries and personal claims • Accident or Serious incident with injuries and/or major to moderate equipment damage • Potential criminal penalty • Medium environmental impact • Potential moderate damage to an aircraft (out of service >5 days) • A non-compliance finding that results in major systems, process or operational degradation • A security finding requiring immediate corrective action prior to continued operation • Reoccurring violation of any safety regulation resulting in serious injury • An employee/customer injury/broken bone. Injury resulting in hospitalization (other than observation) • Moderate Enterprise risk involving executive management involvement • Very large public relations impact requiring resources to manage information • System deficiencies leading to poor flight line performance and chronic disruption to the flight activity schedules

37 • Potential loss (breakdown) of entire subsystem or divisional operation • Production errors containing regulatory violations that pose direct consequence to the operation Moderate • Accident or incident with minor injury and/or minor aircraft damage • Non-life threatening employee/customer injury, with recording of Lost Time Injury • Small environmental impact • Security finding requiring a corrective action plan • Production element errors that may pose indirect consequences to the operation • Aircraft damage resulting in out of service < 5 days • Potential to cause sustained irregular operations until issue is resolved • Additional public relations efforts and resources required Minor • No regulatory action • No environmental impact anticipated • No evident security threat affected • Minor errors in completed University policy and procedures • Production errors containing quality system and/or opportunities for improvement • No equipment damage to slight damage – outcome deferrable with no operational impact • $0 Regulatory fines • No public relations impact Negligible • No regulatory violation • No environmental impact • No security element affected • Initiative delivered against University policy and procedures • No public relations impact • No aircraft damage – no operational impact Finding element present limited opportunities for improvement ERAU will mitigate identified hazards to a level ‘as low as reasonably practicable’ (ALARP). The objective of SRM is to provide a foundation for a balanced allocation of resources between all assessed safety risks. In order to classify hazards, the risk assessment matrix (Figure 2.2) will be used. A new hazard coming into the system or an identified hazard will be assessed to ensure that the risk is acceptable. Risk assessment analyzes the likelihood and severity of a hazard causing harm or injury, and the severity of that harm or injury. Every hazard will be analyzed using the basic premise “Does the risk outweigh the reward?” Hazards that fall in the orange or red category will be analyzed to identify corrective measures to bring the risk level to ALARP. If consensus cannot be met, then the majority will win. (forms)

38 2.1.4 Risk Assessment When the hazard is identified, it is brought into the risk assessment process and given a Risk Assessment Code (RAC), from Figure X above. The RAC will be analyzed in Figure X to identify an appropriate decision level. Once the appropriate decision level is identified, the University Associate Vice President for Safety will take the risk to the appropriate accountable executive for approval. Assessment Risk Index Criteria Accountability 5A, 5B, 5C, 4A, 4B, 3A Unacceptable under existing circumstances, requires immediate action. President 5D, 5E, 4C, 3B, 3C, 2A, 2B Manageable under risk control & mitigation. Requires authorized decision. Chief Financial Officer (CFO) Chancellor 4D, 4E, 3D, 2C, 1A, 1B Acceptable after review of the operation. Requires continued tracking and recorded action plans. Dean of the College Department Of Flights (WW) 3E, 2D, 2E, 1C, 1D, 1E Acceptable with continued data collection and trending for continuous monitoring. Department Chair Faculty In Charge (WW) Likewise, individual operators/pilots will be required to perform a daily individual on-site risk assessment at the beginning of each operation approved by ERAU. On-Site Risk Assessment (OSRA) (Appendix 3) Risk Control Risk controls involve selecting and implementing one or more control methods for mitigating risks. Selecting the most appropriate risk treatment option involves balancing the costs and efforts of implementation against the benefits derived, with regard to legal, regulatory, and other requirements such as social responsibility and the protection of the natural environment. Risk control measures can also introduce secondary risks that need to be assessed, treated, monitored and reviewed. These secondary risks will be incorporated into the same treatment plan as the original risk and not treated as a new risk. Risk Assessment and Mitigation 2.3.1 Risk Evaluation The purpose of risk evaluation is to assist in making decisions, based on the outcomes of risk analysis, about which risks need treatment and the priority for treatment implementation. Risk evaluation involves comparing the level of risk found during the analysis process with risk criteria established when the context was considered. 2.3.2 Recording the Risk Management Process

39 Risk management activities will be traceable. In the risk management process, records provide the foundation for improvement in methods and tools, as well as in the overall process. The following forms found within this policy will be used to document the Risk Management Process: 1. UAS Request Form 2. UAS Initial Risk Assessment Form 3. OSRA Form 4. Incident/Accident Form 5. Safety Reporting Form

40 3 Safety Assurance Safety Performance Monitoring and Measurement 3.1.1 Audits ERAU will periodically measure the effectiveness of its Flight Departments. The University will audit the overall program to ensure compliance with governmental regulations and to review the climate of the Safety Culture. The audit plan will be on a four-year cycle. Every year each campus will receive an audit. The types of audits are: • External audits: (chapter 3.1.2) from outside organization: conducted by a qualified aviation organization using the Request For Proposal (RFP) process. • Self-audits: (chapter 3.1.3) conducted by the Director of Aviation Safety. • Advisory Committee Audits: (chapter 3.1.4) conducted by a team comprised of members of the Advisory Council. • Insurance audits: (chapter 3.1.5) conducted by the University Insurance carrier. • FAA audits: conducted twice per year; once by Part 141 POI and again by Part 142 TPCM. The University Associate Vice President for Safety is responsible for organizing the audits and notifying each campus. This audit plan contains a structured and planned series of audits that are designed to improve the safety and quality of all operations and functions within Embry-Riddle's UAS Flight Program: 1. A Systems-Oriented Process. A continual process that incorporates the techniques of inspections, and evaluations to assess the adequacy of managerial controls and processes in critical systems and to continuously improve those systems based upon the results of regular evaluations. 2. More than a Compliance Inspection. These evaluations will extend beyond regulatory compliance to determine the causes of deficiencies and detect needed enhancements to the University Safety Program and SOP before deficiencies occur. This audit plan will also review compliance with company procedures, policies, and sound business practices as well as legal requirements. 3. A Corrective Process. A process that analyzes deficiencies, develops corrective action plans to correct deficiencies, and performs follow-up evaluations to verify that those corrections have taken place and have been effective. These include, but are not limited to: • Safety Culture and Safety Attitude. • Personnel qualifications, training, and staffing. • Standardization. • Manuals and airworthiness data. • Facilities and equipment.

41 • Inspection and quality control of repair processes. • Records and record keeping procedures. • Student satisfaction. • Employee satisfaction. 3.1.2 External Audits Each location with flight assets will receive a comprehensive external audit every four years. The external audit will be conducted by a qualified organization solicited by the University RFP process. The RFP’s will be reviewed by the University Associate Vice President for Safety, the Executive Safety Council, to decide on the best organization to conduct the audits. The same organization will not be solicited for the next cycle. Students will participate in the audit process as appropriate. • The audited areas of an external audit can be found in Appendix 5. • The audit schedule can be found in the combined audit schedule in Appendix 6. 3.1.3 Self-Audits The University Self Audit Plan is tasked to fulfill the following University objectives: • Verify that flight maintenance, flight operations, flight training, and flight standards departments respond to University policy, developments, and change. • Verify that University policy, developments, and changes continue to facilitate maximum compliance by the flight maintenance, flight operations, flight training, and flight standards departments. • Evaluate the effectiveness of ongoing evaluations performed by the flight maintenance, flight operations, flight training, and flight standards departments. The University Self Audit Plan is an active, continual process within the University that incorporates current, ongoing evaluation structures within flight maintenance, flight operations, flight training, and flight standards. The Aviation Advisory Committee Self Audit plan encompasses comprehensive evaluation of the entire flight organization that are designed to keep the University informed about technical issues and that are intended to improve the University's ability to anticipate potential problems. The University has always maintained a commitment to quality that emphasizes each employee's responsibility for evaluation policies, systems, and procedures for communicating concerns to appropriate management personnel. The University Self Audit Plan is designed to formalize the University's dedication to quality and to ensure that the University President is actively involved in quality issues. Examples of some of the areas that will be emphasized within each department during comprehensive evaluations can be found in Appendix 8. The audit schedule can be found in the combined audit schedule in Appendix 6.

42 3.1.4 Advisory Committee Audits The Advisory Committee audit will be conducted by a team comprised of members of the ERAU Industrial Advisory Committee. • External Audits are to follow the audit process policy. They can be found in Appendix 5. • The audited areas of an Advisory Committee Audit can be found in Appendix 6. • The audit schedule can be found in the combined audit schedule in Appendix 6. 3.1.5 Insurance Audits The Insurance audit will be conducted by a team comprised of members of the ERAU Insurance carrier. • External Audits are to follow the audit process policy. They can be found in Appendix 5. • The audited areas of an Advisory Committee Audit can be found in Appendix 6. Continuous improvement of the SMS 3.2.1 SMS Annual Review The Campus Aviation Safety Councils (if applicable,) will review the SMS on an annual basis and implement recommendations and changes as needed. Monitoring, Review and Continuous Improvement Monitoring, review and continuous improvement are a planned part of the risk management process and involves regular surveillance. It can be periodic or ad hoc. The University's monitoring and review processes encompasses all aspects of the risk management process for the purposes of: • Identifying emerging risks • Obtaining further information to improve risk assessment • Ensuring that controls are effective and efficient in both design and operation • Analyzing and learning lessons from events, changes, trends, successes and failures The results of monitoring and review will be recorded and reported as appropriate. Mandatory Incident/Accident Reporting System Operators will be required to submit and complete a detailed incident/accident report (Appendix 4) for any of the following reasons: • Incidents o Near Miss with Object/Person o Crash with any amount of damage (UAV only) o Reputation Conflict

43 • Accident o Property Damage of any type (Other than UAV) o Injury of any type This report will be reviewed by the Safety Manager and escalated to the appropriate superior. Anonymous UAS Safety Reporting System (AUSRS) ERAU will provide an anonymous safety reporting feature for all ERAU faculty, staff, students and any other entity accessible on ERNIE for the purpose of reporting un-safe acts relating to UAS operations without fear of repercussion or reprimand. Each submission will be investigated, assessed and addressed immediately upon receipt by the SRB. Safety Reviews ERAU will conduct a bi-annual safety review of all ISRA’s, OSRA’s and AUSRS submissions to ensure the integrity of the University’s UAS SMS and its subsystems. If in the event the SMS has or is failing to meet the University Presidents Safety Policy, changes will be addressed and applied to this SMS to close those identified failures.

44 4 Safety Promotion Safety Promotion involves encouraging employees, students and operators alike to be accepting of the Safety Culture. If any entity feels that the Safety Culture is a hindrance, then the SMS will ultimately fail through inaccurate reporting, non-compliance or disregard for safety measures. By promoting the Safety Culture through training, incentives, and active communications, a positive and effective Safety Culture will survive and thrive; ensuring the longevity and success of the UAS program. Training ERAU will incorporate a safety training program to ensure that all personnel are competent to perform in accordance with the SMS. The training program will be tailored to the level of interaction of personnel involved in the SMS. This will include: • The Operator • The Instructor • Committees Training will ensure that each level of interactive personnel is familiar with the policy, procedures and documentation requirements outlined within the SMS. Active Safety Communication Communication is key to any success. ERAU shall establish communications with the entire ERAU body that: 1. Ensure personnel are aware of the SMS in accordance with their active/inactive roles within the SMS. 2. Convey Safety Critical Information 3. Explain why certain safety actions have been emplaced or taken. 4. Explain updated or modified safety procedures, policies or documents. Communications initiatives include, but are not limited to: • Dissemination of this SMS Manual • Safety Processes and/or Procedures • Newsletters, Posters, Notices or Bulletins • Website • E-mail

45 5 Appendix 1: UAS Operation Request Form UAS Operation Request Form *Requests must be submitted no later than 5 business days before the event Submitter Information Name: E-mail: Department: Date of Request: Proposed location: Event Information Aircraft make/model: Aircraft weight (pounds): FAA registration number (if applicable): Date of Event: UAS PIC (name): Name of Event: Detailed Description of Event: Date Sent to Risk Manager: IRC Coordination (to be completed by AVP safety/risk) Date Received Approve Disapprove Suggest SRB Risk Management University Legal Counsel University Insurance Campus Safety (If needed) Does a Safety Review Board (SRB) need to be convened? If Yes, Proposed Date for SRB: Associate Vice President for Safety/Risk Comments: Date: Authorization Number: By submitting this UAS Operation Request, the applicant acknowledges they have read, understand and agree to comply with all applicable FAA regulations and ERAU policies related to UAS operations.

46 6 Appendix 2: Initial Risk Assessment INITIAL OPERATIONS RISK ASSESSMENT DOCUMENTATION Risk Assessment For: Organization & Location Today’s Date: Click for date Reason for Risk Assessment (select all that apply): ☐New System Design ☐Modification to an Existing Operation or Procedure ☐ Change to Existing System Design ☐Operational Environmental Change ☐New Operational Procedure ☐Ineffective Risk Control ☐Other: PROCESS/SYSTEM ANALYSIS Brief description of process of system to be assessed: RISK ANALYSIS / HAZARD IDENTIFICATION HAZARD POTENTIAL CONSEQUENCE(S) H1 H2 H3 H4 H5 (INITIAL) RISK ASSESSMENT Initial RAC: Risk Likelihood -Select- Risk Severity -Select- PROPOSED RISK CONTROL(S) H1 H2 H3 H4 H5 (FINAL) RISK ASSESSMENT Final RAC: Risk Likelihood -Select- Risk Severity -Select- Risk Likelihood Risk Severity Catastrophic (A) Critical (B) Moderate (C) Minor (D) Negligible (E) 5 – Frequent 5A 5B 5C 5D 5E 4 – Likely 4A 4B 4C 4D 4E 3 – Occasional 3A 3B 3C 3D 3E 2 – Seldom 2A 2B 2C 2D 2E 1 – Improbable 1A 1B 1C 1D 1E

47 RISK Mitigation System/Project: _ Responsible Manager: _ Hazard Control Substitute Risk Residual Risk H1 H2 H3 H4 H5 H6 H7 H8 H9 H10

48 7 Appendix 3: Sample OSRA 1 2 3 4 5 Rating O pe ra tio na l Fa ct or s Type of Operation Normal Demo Training/ Recurrency Mx Checkout Test Flight Duration of Operation < 1 hour 1-2 hours 2-4 hours 4-6 hours >6 hours Simultaneous Operations 1 AV 2 AVs 3 AVs >3 AVs PI C Fa ct or s Hours of Rest in Last 24 Hours >8 7-8 5-6 3-5 <3 # of Flights in Type >100 21-100 11-20 5-10 <5 # of Flights in Last 90 Days >10 6-10 3-5 1-2 0 Total UAS Hours >100 51-100 26-50 10-25 <10 E nv iro nm en ta l F ac to rs Current Wind <5 kts 5-10 kts 11-14 kts 15-20 kts >20 kts Forecast Wind for Landing Time <8 kts 9-12 kts 13-15 kts 16-20 kts >20 kts Weather Forecast for Operation Clear Reducing Visibility Precip T-Storm Surrounding Area Open Field (or Indoor, with no spectators) Vegetation Mountainous (or Indoor, with spectators) Urban Crowds/ Assemblies Total Risk Score→ No unusual hazards. Use normal flight planning and and operating procedures. Requires PIC signoff. 10-25 Somewhat elevated risk. Conduct flight planning with extra care. Review personal minimums and operating procedures to ensure that all standards are being met. Consider alternatives to reduce risk. Requires Flight Training Standards Manager signoff. 25-35 (or any 2 single scores of 4) Conditions present much higher than normal risk. Conduct flight planning with extra care and review all elements to identify those that could be modified to reduce risk. If available, consult with a more experienced pilot or instructor for guidance before flight. Develop contingency plans before flight to deal with high risk items. Decide beforehand on alternates and brief crewmembers on special precautions to be taken during the flight. Consider delaying flight until conditions improve and risk is reduced. Requires AS Department Chair signoff. >35 Total (or any single score of 5)

49 8 Appendix 4: Sample UAS Incident/Accident Report Name: E-mail: Phone: Campus: Department/Club: Aircraft Registration Number: Accident Date: Location of Accident: The Accident involved… o Serious Injury o Death o Property Damage greater than 500 (other than Unmanned Aircraft) Description of Accident:

50 Description of Accident: Call Out Protocol Property Damage Less than 500$ Property Damage Greater than 500$ Minor Injury Major Injury UAS Damage Only Public Relations Flight Training Standardization Manager Flight Training Standardization Manager Flight Training Standardization Manager Flight Training Standardization Manager Flight Training Standardization Manager Flight Training Standardization Manager Department Chair Associate Vice President Safety/Risk Associate Vice President Safety/Risk Associate Vice President Safety/Risk Department Chair Department Chair Associate Vice President Safety/Risk Department Chair Department Chair Department Chair Associate Vice President Safety/Risk Campus Safety Dean Campus Safety Chancellor Dean Dean President Chancellor Chancellor President President

51 9 Appendix 5: DB Sample Emergency Response Plan Person In Charge • If necessary, call 911 • Render First Aid as necessary • Contact UAS Flight Training Standardization Manager via call out list • Preserve accident/incident site to ensure aircraft wreckage is not tampered with • Secure the Ground Control Station/device Flight Training Standardization Manager (FTSM) • Obtain Crash bag and proceed to site • Contact the National Transportation Safety Board (NTSB)/FAA as required o NTSB Response Operation Center 1-(844)373-9922 OR (202) 314-6290 o HQ(24Hr) (202) 314-6000 o Eastern Regional Office (0800-1630) (571) 223-3930 • On Campus: Contact campus safety dispatch. • Contact Department Chair via call out list. • Contact AVP for Safety who will determine the need for an AIB. • Ensure the internal notification process is completed per the protocol list. Assist as necessary. • Access to the aircraft must be restricted until the NTSB/FAA provide release authorization. If authorization to move the aircraft is received from the NTSB, the aircraft should be relocated to a secure location. • Ensure that precautions are taken to protect all investigators and preserve all evidence. • Interview appropriate personnel and witnesses. o Written/Recorded Statements o Name, address and phone numbers • Ensure that all necessary data for developing an investigation have been obtained o Photographs o Measurements o Diagrams • If applicable, coordinate post-accident drug testing for all involved crewmembers within the timeframe prescribed by the Flight Operations Manual. Ensure that crewmembers are informed of this requirement and report for testing.

52 Department Chair • If necessary, activate the Emergency Operations Center (EOC). • Coordinate facts and information with the Communications & Media Relations Manager in preparation for a media and campus release. Provide updates to the Communications & Media Relations Manager as appropriate. • Provide regular updates to the Dean or designated alternate. Dean • Open and maintain a log of events. • As necessary, notify the Chancellor – Dr. Tim Brady: o Office:(386) 226-6849 Cell:(386) 212-3004 • As necessary, notify Human Resources – Chuck Kelley (if an ERAU employee is involved) o Office: (386) 226 4956 Cell: (386) 690-6510 • Ensure that the relevant University resources are placed at the disposal of the Dept. Chair and Flight Training Standardization Manager. • Coordinate with Chancellor and the Director of University Communications for the release of information to employees, the media and public. Chancellor • Obtain an initial briefing from the Dean or the Dept. Chair • Provide initial notification and subsequent updates to the President o Dr. Butler • Coordinate notification of next of kin in conjunction with the Dean of Students and/or Human Resources if necessary. • Upon advisement of a major emergency, the Chief Business Officer or the Senior Vice President for Finance & Chief Financial Officer can arrange for a monetary disbursement to be made available to the Dean or Department Chair of the reporting College. o Senior Vice President for Financial & Chief Financial Officer – Randy Howard o Office: (386) 226-6942 Cell: (765) 631-0343 Campus Safety • Obtain a briefing from the UAS Flight Training Standardization Manager or the Department Chair of the reporting College. • Notify or contact the appropriate law enforcement agencies to determine the current status of the accident site. Maintain communications with law enforcement agencies thereafter. • Determine requirements for site security as specified by the UAS Flight Training Standards Manager and in accordance with NTSB 830. If necessary, contract security guard service to meet security needs at the reporting College and accident site.

53 • Assist the Director of Media Relations, Corporate Communications in facilitating communications with employees and students, as appropriate, via the broadcast voice, e-mail and/or RAVE messages. • Communication liaison between appropriate law enforcement and/or rescue agencies. • Initiate and maintain site security at the accident site or ensure this responsibility is being maintained by the appropriate law enforcement or security agency. Dean of Students • Obtain an initial briefing from the Department Chair or designated representative. • Contact the appropriate medical facility and attempt to obtain information on the condition of the student crewmembers. Provide this information to the EOC leader and Communication & Media Relations Manager. • Coordinate student e-mail notifications with the Chancellor, or designated alternate, Communications & Media Relations Manager, and Director of Campus Safety. • In the event of fatalities, communicate with the students’ family after the appropriate law enforcement agency has made initial contact. In the event of injuries contact the student’s family as soon as practicable. In either instance, coordinate these communications with the Chancellor. • Coordinate the following services for the family in the event of injury or death: o Transportation, lodging, etc. o Securing personal effects. o Try to fulfill “any” family request. It is recommended to deter the family members from visiting the accident site. • Coordinate campus memorial service and ensure timing and content has approval of the family. • Serve as a point of contact for students and recommend counseling as needed to address student feelings/needs. Human Resources o Obtain an initial briefing from the Dean of the reporting College. o Obtain information from the appropriate medical facility on the condition of any injured personnel. Provide this information to the Director of Media Relations, Corporate Communications. o In the event of fatalities, communicate with employee’s family after the appropriate law enforcement agency has made initial contact. In the event of injuries, contact the employee’s family as soon as practicable. In either instance, coordinate these communications with the Chancellor. o Ensure drug/alcohol testing of employee crewmembers per APPM (NTSB responsibility if accident involves fatalities). Forward results to University Safety Office.

54 Director of Media Relations, Corporate Communications • The Director of Media Relations, Corporate Communications is the only authorized source of information to the media. • The primary meeting area for media is dependent on the situation and location. • Obtain an initial brief from the Dean of the reporting College or the Department Chair. • Notify the Campus Dispatch ((386) 226-7233) of the situation and request that they forward any inquiries related to the emergency to Media Relations, Corporate Communications Manager. • Communicate with employees and students, as appropriate, via broadcast voice, e-mail, and/or RAVE messages. Coordinate campus communications with the Chancellor, or designated alternate, Director of Safety & Security, and Dean of Students. • Communicate with the Director of Public Relations (University Administration) and provide details as they become known – Melanie Hanns. o Office:(386) 283-0753 OR Cell: (386) 846-1835 Media Response The following guidelines have been established for use by all persons involved in the emergency response. They have been established to PROTECT YOU AND THE UNIVERSITY. Any employee other than those with the prescribed responsibility shall not answer questions from ANY media representatives. Refer all questions to the Media Relations, Corporate Communications Office. Always assume that anyone seeking information is from the media. Media representatives have attempted to disguise their identity by claiming to be friends or family members of those involved in the incident/accident. You may be held legally responsible for any remarks that are made, regardless of whether they are true or false. Do not provide any information to anyone not associated with the University. This includes information such as names, injuries, causal factors, damage, etc. The press will attempt to photograph the wreckage. If at all possible, do not provide media personnel access to the wreckage or the accident site. The local authorities will assist our efforts. The FAA or NTSB will provide any necessary information and event details. IT IS BETTER TO MAKE NO COMMENT AT ALL THAN TO GIVE A COMMENT THAT MAY BE DISTORTED OR PRESENTED OUT OF CONTEXT. NOTE: Members of the media may not always identify themselves as such. A common tactic is to approach you as if they are merely interested bystanders. They may approach you away from the job site and/or “promise” that your name will remain confidential if you give out.

55 10 Appendix 6: Audit Process Policy An audit is to focus on the safety aspects of flight operations, maintenance, and the quality of the overall Safety Program. Emphasis will be on management effectiveness and organizational Safety Culture. The University Associate Vice President for Safety will notify the Flight Department Chair and the Campus Director of Aviation Safety of the audit date, objectives of the evaluation, and at least one month prior to the evaluation. A list of pertinent documents expected to be examined will be included. An in briefing will be held at the start of the evaluation to review objectives, scope, and to clarify expectations. As a minimum, the Flight Department Chair, the Chief Pilot, the Director of Aviation Safety, and the Maintenance Director shall attend the in brief. The physical inspection will take place with the assistance of the Campus Director of Aviation Safety. The evaluation will include facility conditions, work practices, documentation, and personnel interviews. Any hazardous situations or equipment shall be either placarded or removed from service until the hazardous situation is corrected. If any discrepancies are noted, recommendations for corrective action should be presented. For each deficiency noted, corrective action, person responsible, and a reasonable target completion date shall be agreed upon. These items shall be included in the final written report. Prior to completion of the evaluation, the team leader will collect all written notes of the evaluation team members relating to the inspection. All notes shall either be destroyed or included in the written report. The written report will be completed as soon as practicable following the evaluation. The Campus Director of Aviation Safety will provide follow-up monitoring of deficiency corrections. After all corrective actions are completed, the Campus Director of Aviation Safety will notify the University Associate Vice President for Safety. The Campus Director of Aviation Safety shall maintain the original evaluation report for four years or until all deficiencies are corrected, whichever is longer. Audited Areas for External Audits, Advisory Committee Audits and Insurance Audits ❖ Aviation Safety Program • Safety program awareness and support • Personnel • Policy/program • Safety training • Accident/Incident investigations • Hazard reporting program • Distribution of safety information • Aviation safety committee ❖ Flight Training • Instructor records • Flight/ground training • Initial, refresher, & recurrent training • IP/student interviews ❖ Standardization • Standardization manual/maneuvers guide • Flight instructors • Check pilots ❖ Maintenance • Records • Aircraft

56 • Facilities ❖ Operations • Operations manual • Flight operations • Flight training facilities • Flight training aircraft • Flight training personnel • All manuals as applicable ❖ Provide recommendations of flight operations for Risk Management The following areas shall be audited in addition to the above: External audits • Provide recommendations for Advisory Committee flight operation safety evaluations • Evaluation of the management process • Evaluation of the effectiveness and organizational Safety Culture Advisory Committee audits • Provide recommendations for Advisory Committee flight operation safety evaluations • Compliance with all applicable FAR’s, AC’s, SDR’s etc. • Curriculum review • Evaluation of Risk Management process • Survey compliance and safety “attitude” at both campuses Insurance audits • Compliance with all applicable FAR’s, AC’s, SDR’s etc. • Curriculum review • Evaluation of Risk Management process • Survey compliance and safety “attitude” at both campuses • Provide recommendations for Insurance flight operation safety evaluations Audited Areas for Self-Audits ❖ Flight Maintenance • Continuing analysis and surveillance. • Maintenance/inspection division of responsibility. • Parts acceptance/inventory control. • Vendor evaluation methods and procedures. • OSHA/EPA compliance. • Fuel quality control management. • Flight Maintenance/Flight Operations/Flight Training communication. • Department objectives versus University/flight training organization policy. ❖ Flight Operations/Flight Training/Flight Standards • Check airmen/flight standardization program.

57 • Crew Resource Management program. • Flight dispatch coordination, including scheduling, and flight/duty time management. • Scheduling/instructor pilot/student communication. • Instructor pilot/student communication. • Flight Operations/Flight Training/Flight Standards/Flight Maintenance communication. • Department objectives versus University/flight training organization policy. • OSHA/EPA compliance.

58 11 Appendix 6: Combined Audit Schedule Campus Audit type Year Daytona University Safety Office Prescott External External External 2011 2011 2011 Daytona University Safety Office Prescott Insurance Insurance Insurance 2012 2012 2012 Daytona University Safety Office Prescott Self Self Self 2013 2013 2013 Daytona University Safety Office Prescott Advisory Advisory Advisory 2014 2014 2014 Daytona University Safety Office Prescott Insurance Insurance Insurance 2015 2015 2015 Daytona University Safety Office Prescott External External External 2016 2016 2016 Daytona University Safety Office Prescott Self Self Self 2017 2017 2017 Daytona University Safety Office Prescott Advisory Advisory Advisory 2018 2018 2018 Daytona University Safety Office Prescott External External External 2019 2019 2019

Toolkit 1c: UAS Operation Request Form Template for Managing UAS in the Vicinity of Airports Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS D M 31 2019

60 UAS Operation Request Form *Requests must be submitted no later than X business days before the event Submitter Information Name: E-mail: Affiliation: Date of Request: Proposed location: Event Information Aircraft make/model: Aircraft weight (pounds): FAA registration number (if applicable): Date of Event: UAS Pilot in Command (name): Name of Event: Detailed Description of Event: Date Sent to Risk Manager: IRC Coordination (to be completed by AVP safety/risk) Date Received Approve Disapprove Suggest SRB Reviewer 1 Reviewer 2 Reviewer 3 Reviewer 4 (if needed) Does a Safety Review Board (SRB) need to be convened? If Yes, Proposed Date for SRB: Final Decision Reviewer Comments: Date: Authorization Number: By submitting this UAS Operation Request, the applicant acknowledges they have read, understand and agree to comply with all applicable regulations and policies related to UAS operations.

Toolkit 1d: Initial Risk Assessment Form Template for Managing UAS in the Vicinity of Airports Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS

62 INITIAL OPERATIONS RISK ASSESSMENT DOCUMENTATION Risk Assessment For: Organization & Location Today’s Date: Click for date Reason for Risk Assessment (select all that apply): ☐New System Design ☐Modification to an Existing Operation or Procedure ☐ Change to Existing System Design ☐Operational Environmental Change ☐New Operational Procedure ☐Ineffective Risk Control ☐Other: PROCESS/SYSTEM ANALYSIS Brief description of process of system to be assessed: RISK ANALYSIS / HAZARD IDENTIFICATION HAZARD POTENTIAL CONSEQUENCE(S) H1 H2 H3 H4 H5 (INITIAL) RISK ASSESSMENT Initial Risk Assessment Code: Risk Likelihood -Select- Risk Severity -Select- PROPOSED RISK CONTROL(S) H1 H2 H3 H4 H5 (FINAL) RISK ASSESSMENT Final Risk Assessment Code: Risk Likelihood -Select- Risk Severity -Select- Risk Likelihood Risk Severity Catastrophic (A) Critical (B) Moderate (C) Minor (D) Negligible (E) 5 – Frequent 5A 5B 5C 5D 5E 4 – Likely 4A 4B 4C 4D 4E 3 – Occasional 3A 3B 3C 3D 3E 2 – Seldom 2A 2B 2C 2D 2E 1 – Improbable 1A 1B 1C 1D 1E

63 RISK Mitigation Plan System/Project: _ Responsible Manager: _ Hazard Control Substitute Risk Residual Risk H1 H2 H3 H4 H5 H6 H7 H8 H9 H10

64 Toolkit 2: Safety Risk Assessment Checklist Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS

65 Safety Risk Assessment Checklist guide / onsite checklist  Meets legal requirements  Land owner permission  Communication  Type of flight  What is the hazard (low, medium, high)  Operating conditions  PIC condition (include certifications or if supervised student pilot)  Class of airspace  Operating area  Weather  Other Operations CHECK LIST Y/N Meets legal requirements Land owner permission Communication established Type of flight approved Operating Conditions approved PIC condition evaluated Weather conditions acceptable Other operations known Emergency procedures briefed Hazard level Accepted (see matrix below)

66 The following table provides a scoring metric for aggregating risk across Operational Factors, Pilot in Command Factors, and Environmental Factors. Adding up the individual score will provide a high level analysis of the potential risk of an operation. 1 2 3 4 5 Rating O pe ra tio na l Fa ct or s Type of Operation Normal Demo Training/ Recurrences Mx Checkout Test Flight Duration of Operation < 1 hour 1-2 hours 2-4 hours 4-6 hours >6 hours Simultaneous Operations 1 UAS 2 UASs 3 UASs >3 UASs Pi lo t i n Co m m an d Fa ct or s Hours of Rest in Last 24 Hours >8 8-6 6-5 5-3 <3 # of Flights in Type >100 21-100 20-11 10-9 <5 # of Flights in Last 90 Days >10 10-6 5-3 2-1 0 Total UAS Hours >100 51-100 26-50 25-Oct <10 E nv iro nm en ta l F ac to rs Current Wind <5 kts 5-10 kts 11-14 kts 15-20 kts >20 kts Forecast Wind for Landing Time <8 kts 9-12 kts 13-15 kts 16-20 kts >20 kts Weather Forecast for Operation Clear Reducing Visibility Precip T-Storm Surrounding Area Open Field (or Indoor, with no spectators) Vegetation Mountainous (or Indoor, with spectators) Urban Crowds/ Assemblies Manned operations (this could also be class of airspace) none/ ground operations aircraft flying above 400ft approach/ departure of other aircraft. Helicopter operations Total Risk Score→ No unusual hazards. Use normal flight planning and operating procedures. Requires PIC signoff. <25 Somewhat elevated risk. Conduct flight planning with extra care. Review personal minimums and operating procedures to ensure that all standards are being met. Consider alternatives to reduce risk. Requires Flight Training Standards Manager signoff. 25-35 (or any 2 single scores of 4) Conditions present much higher than normal risk. Conduct flight planning with extra care and review all elements to identify those that could be modified to reduce risk. If available, consult with a more experienced pilot or instructor for guidance before flight. Develop contingency plans before flight to deal with high risk items. Decide beforehand on alternates and brief crewmembers on special precautions to be taken during the flight. Consider delaying flight until conditions improve and risk is reduced. Requires AS Department Chair signoff. >35 Total (or any single score of 5)

67 Toolkit 3: UAS Aircraft Performance Table Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS

68 Pl at fo rm Example aircraft Size Speed Duration Range Ground Infrastructure Uses M ul ti ro to r ( sm al l < 55 lb s) DJI Mavic Pro https://www.dji.com /mavic 1.62 lbs (734 g) with battery 40 mph (65 kph) 27 min 4.3 miles Smart phone Controller Personal video/ photo DJI Inspire 2 https://www.dji.com /inspire- 2?site=brandsite&fro m=nav 7.58 lbs (3440 g) with battery 58 mph or 94 kph 27 min <32.8 feet -Ground controller - opt. flight mapping software Professional film making Fi xe d W in g (s m al l) EBEE https://www.sensefl y.com/drone/ebee- mapping-drone/ 1.52 lbs (690 g) with battery 40-90 km/h (11-25 m/s or 25-56 mph) 50 min 33 km (20 mi) -Hand Launch -Ground controller -Flight mapping software (eMotion 3) Professional mapping T ac tic al (s m al l) Shadow http://www.navair.n avy.mil/product/Gro up-1-Small- Unmanned-Aircraft- Systems 467 lbs 110 kt 9 hrs 124 km Hydraulic launcher and landing arresting gear -Intelligence, Surveillance, and Reconnaissa nce (ISR) - Military Scan Eagle http://www.navair.n avy.mil/product/Clo se-Range-UAS 48.5 lbs 47-80 kts 20+ hrs 150 km Rail launch system -Navy’s special operations forces -Boeing and Insitu

69 Pl at fo rm Example aircraft Size Speed Duration Range Ground Infrastructure Uses Aerosonde https://www.textron systems.com/what- we-do/unmanned- systems/aerosonde 80 lbs Empty 40-65 kts 14+ hrs 92 km Rail launch system Ground control station Operated by Textron as part of the ISR services contract T ac tic al (l ar ge ) MQ-1B Predator http://www.af.mil/A bout-Us/Fact- Sheets/Display/Artic le/104469/mq-1b- predator/ 1,130 pounds Empty 84-135 mph 24+ hrs 770 miles Crew of 2 Ground control station 5,000 by 75- foot (1,524 meters by 23 meters) hard- surface runway Airforce ISR with a strike capability Triton http://www.northro pgrumman.com/Cap abilities/Triton/Doc uments/pageDocum ents/Triton_data_sh eet.pdf 32,250 lbs (14,628 kg) 331 knots 24+ hrs 2,000 nm radius Land-based air vehicle and sensor command and control Military interoperabil ity solution UAS specs are included to be used as a capabilities reference for requested UAS operations or “rogue” UAS operations.

70 Toolkit 4: Airspace and Airport Diagram Charts Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS

71 Contents 1 Airspace Classification Chart ........................................................................................... 72 2 Airport Diagram Charts .................................................................................................... 73 Sample Airport Diagram ............................................................................................................................... 73 Obstruction Identification 3D Surfaces Part-77 Diagram ....................................................................... 74 3 UAS Facility Maps ............................................................................................................ 75

72 1 Airspace Classification Chart UAS are legally allowed to fly in class G airspace below 400ft within 5 nm of an airport, this chart shows the classification of airspace and where class G is designated. https://www.faasafety.gov/gslac/ALC/course_content.aspx?cID=42&sID=505&preview=true

73 2 Airport Diagram Charts Sample Airport Diagram An airport diagram depectics areonautical information in and around an airport providing critical information for manned and UAS operations. https://www.faa.gov/air_traffic/flight_info/aeronav/digital_products/aero_guide/media/editions /cug-complete.pdf

74 Obstruction Identification 3D Surfaces Part-77 Diagram This ALP Part 77 Surface Map shows the conical and transitional surfaces that might be penetrated by UAS operations and should be included in FAA UAS Facility Maps. https://www.ngs.noaa.gov/AERO/oisspec.html

75 3 UAS Facility Maps These maps, available online, are for informational and planning purposes to identify airspace where the FAA may authorize operations without additional safety analysis and should be consulted as a resource when applying for a Part 107 Airspace Waiver and Authorization. In controlled airspace, the Low Altitude Authorization and Notification Capability (LAANC) is an automated resource operators can use to gain rapid authorization for UAS operations. https://faa.maps.arcgis.com/apps/webappviewer/index.html?id=9c2e4406710048e19806ebf6a0675 4ad

76 Toolkit 5: Sample NOTAMs and DROTAMs Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS

77 Contents 1 NOTAMs and DROTAMs: .............................................................................................. 78 2 Examples: ......................................................................................................................... 79 NOTAMs ......................................................................................................................................................... 79 DROTAMs ...................................................................................................................................................... 79

78 1 NOTAMs and DROTAMs: This toolkit item includes both NOTAM and DROTAM examples. These are included to assist in the making of DROTAMS and how they differ from NOTAMs. This toolkit will also cover how and when to file a NOTAM/DROTAM. NOTAMs (notice to airmen) are used to give pilots notice on potential hazards, changes, or operations happening during departure and arrival as well as along the route of the flight. DROTAMs (drone. notice to airmen) are notifications for pilots and UAS pilots that particularly pertain to UAS operations or define UAS operating areas. To file a NOTAM or DROTAM a call must be made to the flight data department (1-888-766-8267) within 72 hours of the expected start flight time. For more information on how to format NOTAMs and DROTAMs reference the FAA publication 7930.2R Notices to Airmen (NOTAM), Chapter 6 (https://www.faa.gov/documentLibrary/media/Order/7930.2R_basic_dtd_1_5_17_(2).pdf. Operators are encouraged to check for existing notifications to prevent simultaneous issuance, but there are cases, such as on-airport operations where issuing DROTAM and NOTAM would be appropriate. To search already existing NOTAMS/ DROTAMS visit https://notams.aim.faa.gov/notamSearch/nsapp.html#/results

79 2 Examples: NOTAMs !PIT 05/400 PIT TWY P SFC PAINTED HLDG PSN SIGNS FOR RWY 10R/28L NORTH SIDE NOT STD 1805291918-1808011000 Issuing Airport: (PIT) Pittsburgh Intl NOTAM Number:05/400 Effective Time Frame Beginning: Tuesday, May 29, 2018 1918 (UTC) Ending: Wednesday, August 1, 2018 1000 (UTC) Affected Areas Taxiway: P (at RWY 10R/28L) Marking Type: Surface Painted Holding Position Signs Direction: North Side Status: Non-Standard !LAL 06/010 LAL TWY E BTN TWY D AND TWY E1 NONMOVEMENT AREA 1806081748- 1808032200EST Issuing Airport: (LAL) Lakeland Linder Rgnl NOTAM Number:06/010 Effective Time Frame Beginning: Friday, June 8, 2018 1748 (UTC) Ending: Friday, August 3, 2018 2200EST (UTC) Affected Areas Taxiway: E (between TWY D and TWY E1) Operating Status: Designated Non-Movement Area DROTAMs !BDR 01/102 ZBW AIRSPACE UAS WI AN AREA DEFINED AS 20NM RADIUS OF 440336N0754317W (GTB) SFC-FL290 1701091849-PERM !HHR 01/025 FIM AIRSPACE UAS WI AN AREA DEFINED AS 1NM RADIUS OF FIM285003.5 (6.7NM ENE SZP) SFC-1000FT 1701161711-PERM !MKL 01/234 ZME AIRSPACE UAS WI AN AREA DEFINED AS .6NM RADIUS OF 321816N0905135W (5.2NM NE VKS) SFC-400FT AGL 1701271626-PERM

80 This is a sample NOTAM issued for Killeen-Fort Hood Regional Airport and Southern California Logistics Airport (Neubauer 2015)

81 Toolkit 6: Sample UAS Operational Plan Template Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS

82 Contents 1 Title Page .......................................................................................................................... 83 2 Overview ........................................................................................................................... 83 3 Background ...................................................................................................................... 83 4 Purpose ............................................................................................................................. 83 5 Points of Contact .............................................................................................................. 83 6 Operational Plan ............................................................................................................... 83 Objective and Goals ....................................................................................................................................... 83 Resources ......................................................................................................................................................... 84 6.2.1 Facilities and Tools .................................................................................................................................................. 84 6.2.2 Participants ................................................................................................................................................................ 84 Operational Responsibilities, Assignments, and Schedule ....................................................................... 84 Operational criteria ......................................................................................................................................... 84 Operational environments ............................................................................................................................ 84 Safety and risk assessment ............................................................................................................................. 85 Emergency response procedures ................................................................................................................. 85 Non-Punitive reporting mechanism ............................................................................................................ 86

83 1 Title Page Provide a name of the operation as well as the date of the operation. 2 Overview Identify the current operating environment for sUAS in the NAS 3 Background This section is for a description of the background of the organization and the proposed flight projects. 4 Purpose Explain the purpose of the purposed flight. 5 Points of Contact List available contacts to reference the operation plan and purposed flight, this should include the person leading the project and may also include overlapping or layered jurisdictions such as local, state, and federal levels. 6 Operational Plan Explain the purpose of the plan as well as the organization. The organization for this template is as follows: • Objective and Goals • Resources • Operational Responsibilities, Assignments, and Schedule • Operational criteria • Operational environments • Communications protocol • Test procedures • Safety and risk assessment • Emergency response procedures • Non-Punitive reporting mechanism Objective and Goals Describe the objective and goals for the operational plan. Include anticipations for the operation activities and results. This statement should change with each operation.

84 Resources A series of resources will be required to successfully complete the activities outlined in this operational plan. This section contains the details of these resources and how they will be used. 6.2.1 Facilities and Tools List and describe the necessary tools and facilities required for all activities included in the plan. 6.2.2 Participants List all resources needed for plan activities. This should include personnel and equipment and their duties. Operational Responsibilities, Assignments, and Schedule Establish a time frame and schedule for operations. This is best done by using a planning chart. Operational criteria The following represents the recommended criteria for conducting the proposed operations: (List, describe, and explain the recommended criteria for conducting the proposed operation. A sample list has been provided below) • Safety Culture • Operator qualifications • Weather • NOTAMs • Safety briefing • Safety equipment • Inspection (pre-flight) • Certificate of Authorization (COA) Requirements (legal requirements for operation) • Privacy policy (if applicable) Operational environments Describe the operating environment (where the flight will take place). Add maps if necessary. • Mission airspace • Ground operations • Flightline movement area • Adjacent airspace • Communications protocol

85 The communication protocol for UAS operations is an important consideration to plan for all missions. At towered airports, a preliminary protocol should be developed already from previous coordination activities with the tower. If operating at a non-towered airport, a communication protocol should be developed based around the self-announce procedures described in the FAA Aeronautical Information Manual Mission airspace. Safety and risk assessment This section represents an outline of the actions taken and documentation produced to identify, analyze, and mitigate (control) potential risk, while achieving desired benefit in operation of sUAS. Create a section for and list anticipated benefits of the flight and operation. Include a section for risk assessment, mitigation, and accountability. The examples below have been generalized from Emery Riddle Aeronautical University and the U.S. Forest Service who hold organizational and project leads responsible in high risk operations. Conduct a risk assessment and note findings particular to circumstances or organization structure. Table 1. Risk Matrix Assessment Risk Index Risk Severity Catastrophic A Critical B Moderate C Minor D Negligible E 5 – Frequent 5A 5B 5C 5D 5E 4 – Likely 4A 4B 4C 4D 4E 3 – Occasional 3A 3B 3C 3D 3E 2 – Seldom 2A 2B 2C 2D 2E 1 – Improbable 1A 1B 1C 1D 1E Table 2. Risk Assessment and Approval Assessment Risk Index Criteria Accountability 5A, 5B, 5C, 4A, 4B, 3A Unacceptable under existing circumstances, requires immediate action Operations Manager 5D, 5E, 4C 3B, 3C, 2A, 2B Manageable under risk control & mitigation, required authorized decision Operations Manager, Project Lead 4D, 4E, 3D, 2C, 1A, B Acceptable after review of the operation. Require continued tracking and recorded action plans. Project Lead, Pilot in Command 3E, 2D, 2E, 1C, 1D, 1E Acceptable with continued data collection and trending for continuous monitoring Pilot in command, Flight Crew Leader, Visual Observer, Maintenance Chief Emergency response procedures This section should represent your organizations safety response plan. This section should also note that in case of a medical emergency dial 911. Other potential topics include: • Manned aircraft declares an emergency with the intent to land at the airport • Manned, non-participating aircraft enters operations area

86 • Loss of control/Lost Link • Loss of communications • Loss of visual/position Non-Punitive reporting mechanism Questionable practices or violation of law and/or policies, participants will be encouraged to report the details of the occurrence to: List available representatives and their contact information.

87 Toolkit 7: Sample Landowner Permission for UAS Operations Document Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS

88 SAMPLE APPLICATION AND PERMIT FOR USE OF AN UNMANNED AIRCRAFT SYSTEMS (UAS) Application must be submitted not less than 10 days prior to use date. Location: ____________________________________________________________________________ DATE(S) REQUESTED: ___________________________________________________________________ 1. Describe specific proposed location of activity: _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ 2. Describe sponsors - if this is a sponsored event: _____________________________________________________________________________________ _____________________________________________________________________________________ 3. Describe type of use (recreational, commercial or administrative): _____________________________________________________________________________________ 4. NAME OF (INDIVIDUAL OR ORGANIZATION): _______________________________________________ ADDRESS: ____________________________________________________________________________ _____________________________________________________________________________________ TELEPHONE: __________________________________________________________________________ EMAIL: ______________________________________________________________________________ 5. Times of arrival and departure: _________________________________________________________ 6. Briefly describe activity/itinerary: _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ 7. FAA Authorization (recreational use) or Certificate of Operation and/or Airworthiness Certification Received: YES__ NO __ PENDING_________________________________________________________ ___________________________________________________ _____________________________ (Signature of Applicant) (Date) PERMIT

89 Permission is hereby granted to: Permittee Name:_______________________________________________________________________ Organization:__________________________________________________________________________ Activity:______________________________________________________________________________ Location/Area: ________________________________________________________________________ Date(s):_______________________, 20___ between the hours of ________ and ________, subject to the terms and conditions described below. _____________________________________________________________________________________ Issued By (Printed Name of Regional Director or Designee, Signature, and Title) I accept the permit and the terms and conditions: Signature: ____________________________________________________________________________ Name (printed): _______________________________________________________________________ Address: _____________________________________________________________________________ _____________________________________________________________________________________ Telephone and Email: ___________________________________________________________________ Organization Name (if applicable):_________________________________________________________ This permit is valid ONLY at the time and place noted above. This permit does not constitute a reservation or grant exclusive use of any area of the above-named Park/Historic Site. The person whose signature appears above shall be in attendance during the entire period stated in this permit and shall carry a copy of this permit. Standard Conditions (SAMPLE): 1. Permit is not valid until fees and proof of insurance coverage are received in the Regional Office at (insert address). 2. Permittee shall be responsible for any and all damage to park property or facilities that may result from the Permittee’s use thereof. The Permittee assumes all risks and shall indemnify. 3. Permittee shall provide general liability insurance for protection for claims for damages to property and for personal injuries, including death, which may arise from the activity in the amount of $$$. 4. Permit is only valid for date(s) and location(s) within the facility that are authorized in this Permit. 5. Permit shall be carried by the person responsible for the activity and presented upon request. 6. Areas and facilities used by the Permittee shall be left in the same condition that existed on arrival. Permittee shall clean up and dispose of all waste generated. 7. No waiver of permit conditions is valid unless the Permit is amended and signed by the designee.

90 8. Violation of permit terms may result in rescission of the permit. 9. Any required vehicle use fee or facility fee shall be paid at point of entry. UAS Conditions (SAMPLE): 1. Include a list of specific UAS conditions that pertain to the land/ facility being used. EX: • Wildlife • Compliance with land/facility safety • Compliance with laws/ regulations • Compliance with law enforcement • Establish safety “zones” where only UAS operators are allowed. • Emergency procedures to be provided and on hand This sample is referenced from: https://parks.ny.gov/inside-our-agency/documents/GuidancePolicies/SampleUASPermit.pdf Other sample UAS Landowner permission documents: • https://ehs.wustl.edu/resources/EHS%20Documents/EHS%20Template%20for%20Consent%20o f%20Third%20Parties%20to%20Operate%20UAS%20on%20WU%20Campuses.docx • http://www.taupodc.govt.nz/our-services/a-to z/Documents/RPAS%20Permit%20Application%20Form.pdf • http://www.daedalusdroneservices.com/wp-content/uploads/2016/05/Property-Owner-Consent- Form-10-14-15.pdf

91 Toolkit 8: Sample Airport UAS Policy Documents Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS

92 Contents 1 Examples of Airport Policy Documents: .......................................................................... 93 2 UAS Policy Template ....................................................................................................... 95 Overview .......................................................................................................................................................... 95 Hobbyist User Guidelines ............................................................................................................................. 95 Commercial User Guidelines ........................................................................................................................ 95 Public User Guidelines .................................................................................................................................. 95 Reporting Unsafe Operations ....................................................................................................................... 95 Map ................................................................................................................................................................... 95 Reference Links .............................................................................................................................................. 95

93 1 Examples of Airport Policy Documents: Airport Topics Addressed Link Sea-Tac (KSEA) Limits to airspace and coordination requirements by type Airport contacts Reference Links Map of UAS no-fly zone and 5-mile notice area https://www.portseattle.org/page/sea- tac-airport-operation-rules-drones- uavuas Boise (KBOI) Recreational flights Form to email to notify Commercial flights Waiver request form City park operations Warning to stay away from active fires, firefighting Reference links AIRMAP map of area with UAS restricted airspaces labeled https://www.iflyboise.com/airport- operations/uas-operation-rules/ Phoenix/Sky Harbor (KPHX) Directs hobbyists to FAA link for new hobbyists Link to online notification system for hobbyists operated by City of Phoenix Aviation Department Link on notification form to view city’s UAS safety map Directs commercial users to FAA link for new commercial users https://www.skyharbor.com/Business/R ulesAndRegulations/drones Arlington Municipal (KGKY) Drone Notification Procedures Registration Airport locations (link to map) Flight Planning and notification FAA’s authority summary Safety reminders Reference Links http://www.arlington- tx.gov/airport/drone-notification- procedures/

94 Airport Topics Addressed Link Pittsburgh International (KPIT) Hobbyist Rules B4UFly info Contact info for PIT and AGC airports Guidance on reporting unsafe activity Reference links http://www.flypittsburgh.com/newsroo m/drones Ormond Beach Municipal (KMON) Hobbyist rules (including notification, but no contact info on page) Summary of FAA legal and regulatory authority Registration https://www.ormondbeach.org/784/U AV-Drone-Guidance http://www.dot.state.fl.us/aviation/uas. shtm Houston Airports (Multiple – KIAH, KHOU, KEFD) Introduction Airspace categories for IAH, HOU, and EFD Links to B4UFLY and AIRMAP Commercial UAS operators Public UAS operators Hobbyist UAS operators Operating rules for Hobbyist and Commercial/Public Reference links https://www.fly2houston.com/biz/about /UAS-operations/ Miami International (KMIA) Four regulations: Registration Airport notification One mile prohibition around Miami-Dade airports $500 civil penalty for unauthorized use. Reference links (FAA, Miami-Dade Ordinance, and FDOT) FAA PSA Video MIA One-mile boundary map http://www.miami- airport.com/miadrone.asp

95 2 UAS Policy Template Based on the policies listed above several important components of an airport UAS policy are described below. Overview Provide a high-level summary of the airport or representative body’s policy (e.g. metropolitan airport authority) for UAS operation identifying a need to ensure safe operation and summarize any novel aspects of your airport/community’s laws, policies, and ordinances for UAS operations. Hobbyist User Guidelines For hobbyists provide guidance on registration, summary of rules tailored to your airport, procedure for airport notification of operations within a designated radius of the airport. Commercial User Guidelines Summarize the guidelines for commercial operation under Part 107 and specify the need for waiver and/or request authorization through LAANC. Provide guidance on how to seek waivers. Public User Guidelines Summarize the guidelines for public users to operate under Part 107 or COA and provide guidance on how to seek waivers. Reporting Unsafe Operations Provide information on notifying the appropriate local authorities and FAA for unsafe UAS operations. Map Provide a suitable safety map showing boundaries for UAS operation and/or include link to an AIRMAP representation of airport boundaries. Reference Links • B4UFLY.com (https://www.faa.gov/uas/where_to_fly/b4ufly/) • FAA UAS Site (https://www.faa.gov/uas/) • FAA UAS FAQs (https://www.faa.gov/uas/faqs/)

96 Toolkit 9: UAS Airport Operations FAQs and Other Resources Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS

97 Contents 1 Business FAQ for UAS Operations at Airports ................................................................ 99 Infrastructure and costs considerations ...................................................................................................... 99 1.1.1 What are the anticipated costs of UAS operations? ............................................................................................ 99 1.1.2 Do UAS need a runway for takeoff and landing? ................................................................................................ 99 1.1.3 Will UAS communication frequencies interfere with existing frequencies used by airport staff, FAA, and airport tenants? ........................................................................................................................................................................ 99 UAS market size, economic impact, and other information for public outreach .............................. 100 1.2.1 What information should typically be shared with the public to inform the public about UAS operations? 100 1.2.2 What is the current market size and economic impact of UAS operations? .................................................. 100 Personnel training for UAS operations ..................................................................................................... 104 1.3.1 Are there any organizations that provide personnel training for UAS operations? ...................................... 104 UAS specific insurance ................................................................................................................................ 104 1.4.1 Are there any UAS specific insurance policies? Can a UAS operator purchase a liability insurance? ........ 104 UAS airport integration planning ............................................................................................................... 105 1.5.1 What resources exist for airport planning or other consulting to better aid airports in UAS integration planning? ................................................................................................................................................................................ 105 Business agreements ..................................................................................................................................... 105 1.6.1 Are there any types of contracts, teaming agreements, or NDAs that should be put in place when the airport facilitates UAS operation in its vicinity? ................................................................................................................ 105 2 Legal FAQs ..................................................................................................................... 106 What should I do if I see a UAS crash on or around the airport property? ....................................... 106 How would I know if I see a UAS whether or not it is flying with proper authorization over the airport property? ......................................................................................................................................................... 106 What do I do if I think I see a UAS operating too close to manned aircraft? .................................... 106 Are there defined maximum altitudes around the airport to prevent UAS from interfering with manned aircraft? ......................................................................................................................................................... 106 Where does an operator with a Part 107 certificate go to obtain authorization to fly in the controlled airspace above your airport? .................................................................................................................. 106 What happens if you get asked a question and you do not know the answer? .................................. 106 Where does a person go to see whether a Temporary Flight Restriction (TFR) is in effect at or around a local airport? ............................................................................................................................................... 106 Likewise, where does a person go to see whether there are any Notices to Airmen (NOTAMs) available at or around a local airport? ...................................................................................................................... 107 Does LAANC apply for operation under a Section 333 exemption if following the exemption? .. 107 If someone wishes to request a Certificate of Waiver or Authorization (COA) for non-Part 107 operations, how is airport airspace coordination handled? ................................................................................. 107

98 Are there special restrictions / approval process for SAC-Experimental UAS operations from or in the vicinity of airports? .............................................................................................................................................. 107 3 References ...................................................................................................................... 108 4 Other FAQs and Resources ............................................................................................ 109

99 1 Business FAQ for UAS Operations at Airports With technical and operational development of UAS operations, U.S. airports should be able to accommodate businesses utilizing UAS for commercial activities at or in the vicinity of airports. Potential UAS activities in the vicinity of airports may include: UAS inspection company (oil and natural gas pipelines; power line and cables; infrastructure; historic and archaeological sites; forestry; agriculture; etc.); UAS mapping company; news agency using UAS for areal broadcast, and others. The following is a list of business related Frequently Asked Questions (FAQ) that airport operators and managers may have about UAS operations. Infrastructure and costs considerations 1.1.1 What are the anticipated costs of UAS operations? UAS come with different types and sizes. The most common type is a quadcopter that can be purchased for $1,000-$2,000. However, depending on the business type, agricultural or high altitude long endurance UAS may cost several thousands of dollars and more. Cost of operations will also depend on the business type, UAS type, and number of UAS utilized by the business. Potential costs include: • Personnel • UAS and mission support equipment/infrastructure • Mission specific payload and supporting hardware • Insurance • Hangar/storage lease space • Maintenance • Airport fees (if applicable) 1.1.2 Do UAS need a runway for takeoff and landing? It depends upon the platform. Vertical takeoff and landing (VTOL) platforms can operate without a runway. However, fixed wing UAS can be launched through a variety of mechanisms dependent upon the system including conventional takeoff and landing. Other common launch mechanisms include rail launch systems, tensioned line release, ground vehicle-based launch. Other common recovery mechanisms include deep stall, parachute, conventional landing with arresting cable, and net/tension line recovery. 1.1.3 Will UAS communication frequencies interfere with existing frequencies used by airport staff, FAA, and airport tenants? The answers to this question is very UAS type specific. A good resource is ACRP report 144: Unmanned Aircraft Systems (UAS) at Airports: A Primer. (Neubauer, Fleet, Grosoli, & Verstynen, 2015)

100 UAS market size, economic impact, and other information for public outreach 1.2.1 What information should typically be shared with the public to inform the public about UAS operations? Building community support for UAS operations at airports is important, as airport surrounding communities need to be informed about UAS operators and UAS flight activities than may impact them. Following is a list of topics the airport manager may present to the public to alleviate any concerns: • General information about UAS: o History of UAS development o Types of UAS o Economic impact of UAS o Safety benefits of UAS o Environmental benefits of UAS o Current and proposed UAS regulations o Future use of UAS • Specific information about UAS operations at the airport o Overview and history of the UAS organization that will be operating at the airport o Safety record, risk management processes o Types of UAS and missions o Flight routes and restrictions 1.2.2 What is the current market size and economic impact of UAS operations? Unfortunately, due to a great diversity of UAS sizes, type of operations, and agency affiliations, there are no centralized data sources available for UAS operational and safety data. Several commercial and government organization (RTCA, Inc.; MITRE; Volpe; Forecast International, Inc.; and others) have attempted to project UAS operations, but their forecasts vary substantially in terms of periods, projected variables (e.g., number of UAS produced, dollar value of UAS produced, number of UAS in operations, etc.), and outcomes. In its Fiscal Year 2018-2038 Aerospace Forecast, the FAA projects about 2.2 million of hobbyist and 400,000 commercial small UAS units operating in the U.S.. As presented in Figures 1 and 2, both hobbyist and commercial users are actively registering UAS.

101 Figure 1: Model Registrations by Week Source: FAA Aerospace Forecast 2018-2038 (FAA, 2018) Figure 2: Commercial sUAS Registrations by Quarter (FAA, 2018) Source: FAA Aerospace Forecast 2018-2038 According to Volpe forecast, the number of larger (55 lbs+) UAS flying in the NAS will increase exponentially and by 2034 will exceed the number of active General Aviation (GA) aircraft as presented in Figure 3.

102 Figure 3: Forecast of 55 lbs+ public and commercial UAS in the NAS versus GA aircraft Source: UAS forecast by Volpe; GA aircraft forecast by FAA Table 1, Table 2, and Table 3 present Forecast International (FI) projections of UAS production (in both number of units and monetary values) of major UAS companies that dominate the market, and UAS development funding by geographic region. FI expects that US companies will continue to dominate the market and airborne systems will continue to be the largest segment of unmanned vehicle markets in both units and monetary values. Table 1. Historical and Projected Markets for Unmanned Vehicles 2004 - 2013 2014 - 2028 Module Units Values Units Value Notes Airborne Systems 58,633 $23.45 Billion 60,290 $70.58 Billion (1) Land & Sea Systems 47,990 $7.92 Billion 61,125 $17.76 Billion (2) Total Market 106,623 $31.37 Billion 121,415 $88.34 Billion Source: Forecast International 1. Production of airborne systems, primarily military, is decreasing, but the aircraft are much more sophisticated; thus, much higher values 2. Initial market mostly military, but civil applications are increasing for such roles as police bomb check and destruction, etc. Five UAS companies dominate the market with Northrop Grumman having 19.64 percent of the market share with its Global Hawk system.

103 Table 2. Major UAS Companies Company % Share Main System Northrop Grumman 19.64 Global Hawk General Atomics 11.75 Predator IAI 2.96 Heron AAI 2.05 Shadow Boeing 1.42 ScanEagle All Others 62.18 Source: Forecast International The United States dominates the development of UAS with 38.1 percent ($11 billion) of global development funding spent here. Table 3. UAS Development Funding Region % Value U.S. 38.10 $11 billion Asia 26.67 $7.7 billion Western Europe 18.70 $5.4 billion Eastern Europe 8.66 $2.5 billion Middle East 6.54 $1.89 billion Latin America 1.33 $384 million Total Value 100 $28.874 billion Source: Forecast International All sources referenced above project exponential growth of UAS production and usage. UAS are already present in the NAS and will become more and more important for ATM system safety every year. While there is a consensus with the qualitative assessment of the increased UAS presence in the NAS, the operational forecast numbers vary significantly among forecasting organizations and timeframes. In addition, as demonstrated by the number of small UAS registered with the FAA, the forecasts have to be updated every year since the actual number of UAS units operated in the US exceeds forecasts made even a year ago. Additional courses: Unmanned Aircraft Systems Demand & Economic Benefit Forecast Study (Linkel & Wolfe, 2018) Forecast of the Commercial UAS Package Delivery Market (Jenkins, Vasigh, Oster, & Larsen, 2017)

104 Personnel training for UAS operations 1.3.1 Are there any organizations that provide personnel training for UAS operations? Yes, there are many government and commercial organizations provide UAS training. For example, the Interagency Aviation Training of U.S. Department of the Interior provide training for DOI employees by offering courses for small UAS operators (https://www.doi.gov/aviation/uas/training). FAA Remote Pilot Certificate under FAR Part 107 is required for commercial UAS operators. Many commercial training centers offer preparation courses for the FAA remote pilot license. UAS specific insurance 1.4.1 Are there any UAS specific insurance policies? Can a UAS operator purchase a liability insurance? Yes, there are insurance companies that provide UAS Hull and Liability insurance. Typically, these are the same company that provide manned aircraft insurance. For example, UAS specific insurance is provided by: • Unmanned Risk Management (http://unmannedrisk.com/about/) • AIG Aerospace (https://www.aig.com/business/insurance/specialty/unmanned-aircraft- system) • Aerial Pak (http://www.aerialpak.com/details.jsp) • Bullock Agency, Inc. (http://www.bullockagency.com/) Types of UAS insurance: • Liability insurance. This coverage will protect the UAS operator from Property Damage and Bodily Injury claims that may arise from the commercial operation of UAS. Typically, liability limits start at $500,000 and can be as high as $10 million per occurrence. • Hull insurance. This coverage will protect the UAS operator from the losses from any physical damage of its UAS. The operator and the insurance company will agree upon a value and the insurance quote will reflect it. • Payload insurance. The UAS operator may insure payload that is carried by its UAS. This policy will project the operator from the losses from any physical damage to UAS payload (e.g., cameras, sensors, or other equipment. • Ground equipment insurance. This coverage will protect the UAS operator from the losses from any physical damage to ground equipment, such as ground stations, computers, remote controllers, and other items associated with operating UAS. • Personal injury insurance. This coverage will project the UAS operator from libel, slander, violation of privacy, and copyright infringement that are associated with UAS operations.

105 UAS airport integration planning 1.5.1 What resources exist for airport planning or other consulting to better aid airports in UAS integration planning? A good resource is ACRP report 144: Unmanned Aircraft Systems (UAS) at Airports: A Primer. (Neubauer, Fleet, Grosoli, & Verstynen, 2015). Business agreements 1.6.1 Are there any types of contracts, teaming agreements, or NDAs that should be put in place when the airport facilitates UAS operation in its vicinity? There are no UAS specific business agreements. Typical business agreements/documents are used in UAS related business: An MOU is an informal document that records any important conversations an airport manager has with a UAS operator. MOUs documents the terms of the UAS operations in the vicinity of the airport in writing, but it is not legally binding. NDA protects information that should remain private. This legal document creates a confidential relationship between an airport manager and UAS operator and projects both parties. Here are suggested questions for the first conversation with an UAS operator planning to conduct operations in the vicinity of the airport. They are mostly safety related. Landowner agreements for adjacent properties where overflight is planned for mission flight path or contingency flight path. • Exactly where do you intend to fly your UAS (latitude/longitude or an address)? • What altitudes do you plan to fly at (remember, has to be below 400 feet AGL) • What kind of flying activity are you planning? • How many UAS are you using? • What is the description of the UAS? • What day, date, and time will you be flying and for how long exactly? • Your name and contact detail, including radio frequency if applicable.

106 2 Legal FAQs What should I do if I see a UAS crash on or around the airport property? The Remote Pilot is obligated to assess the damage to third parties or injuries to persons and notify the FAA. This is done through the FAA DroneZone Portal available at https://faadronezone.faa.gov/#/ How would I know if I see a UAS whether or not it is flying with proper authorization over the airport property? This is a tough call unless you see the Remote Pilot and question him/her to check for appropriate airspace authorization (if the field is controlled). If the field in uncontrolled then you the airport owner/operator should have been notified. For a list of areas where UAS are prohibited from flying see https://www.faa.gov/uas/where_to_fly/airspace_restrictions/#airports What do I do if I think I see a UAS operating too close to manned aircraft? The FAA encourages you to contact local law enforcement. Law enforcement works closely with the FAA. More information can be found at https://www.faa.gov/uas/resources/uas_sightings_report/ Are there defined maximum altitudes around the airport to prevent UAS from interfering with manned aircraft? Yes, at some but not all airports, there is a grid system in place with certain defined altitudes. It is under the premise of Low Altitude Authorization and Notification Capability (LAANC). See the entire country on this map. https://faa.maps.arcgis.com/apps/webappviewer/index.html?id=9c2e4406710048e19806ebf6a0675 4ad Where does an operator with a Part 107 certificate go to obtain authorization to fly in the controlled airspace above your airport? This would be the FAA DroneZone Portal available at https://www.faa.gov/uas/request_waiver/request_operate_controlled_airspace/ What happens if you get asked a question and you do not know the answer? Refer the person asking it to visit https://www.faa.gov/uas/faqs/ and if this is not helpful then he/she may contact the FAA UAS Integration Office directly at uashelp@gaa.gov or call 844-FLY- MY-UA. Where does a person go to see whether a Temporary Flight Restriction (TFR) is in effect at or around a local airport? The best way to check using the airport identifier is this site http://tfr.faa.gov/tfr2/list.html

107 Likewise, where does a person go to see whether there are any Notices to Airmen (NOTAMs) available at or around a local airport? The best way to check using the airport identifier is this site https://pilotweb.nas.faa.gov/PilotWeb/ Does LAANC apply for operation under a Section 333 exemption if following the exemption? Typically, the Section 333 exemption will contain instructions for operating within controlled airspace. It is advisable to comply with those instructions until the exemption expires, or unless directed otherwise by the FAA UAS Integration Office at uashelp@gaa.gov or call 844-FLY-MY- UA. If someone wishes to request a Certificate of Waiver or Authorization (COA) for non- Part 107 operations, how is airport airspace coordination handled? The blanket public Certificate of Waiver or Authorization (COA) permits nationwide flights in Class G airspace at or below 400 feet, self-certification of the UAS pilot, and the option to obtain emergency COAs (e-COAs) under special circumstances. Other airspace authorizations are handled via LAANC or by contacting 9-ajv-115-uascoa@faa.gov Are there special restrictions / approval process for SAC-Experimental UAS operations from or in the vicinity of airports? To fly a UAS that weighs 55 pounds or more, operators will need to use the existing Section 333 exemption process. Pilot requirements will be evaluated on a case-by-case basis, as will operating rules and aircraft requirements. Instructions for petitioning under Section 333 may be found at https://www.faa.gov/uas/beyond_the_basics/section_333/how_to_file_a_petition/

108 3 References FAA. (2018). FAA Aerospace Forecast Fiscal Years 2018-2038. Washington, DC: United States Federal Aviation Administration. Jenkins, D., Vasigh, B., Oster, C., & Larsen, T. (2017). Forecast of the Commercial UAS Package Delivery Market. Linkel, J., & Wolfe, R. (2018). Unmanned Aircraft Systems Demand & Economic Benefit Forecast Study. Retrieved from https://ntsr.nasa.gov: https://ntrs.nasa.gov/archive/nasa/casi.ntrs.nasa.gov/20180002816.pdf Neubauer, K., Fleet, D., Grosoli, F., & Verstynen, H. (2015). Unmanned Aircraft Systems (UAS) at Airports: A Primer. ACRP Report 144. Washington, DC: Transportation Research Board.

109 4 Other FAQs and Resources The FAA provides guidance for airports/airspace with respect to what is allowed for commercial and recreational users, as well as what to do in the case of an accident/incident. Additionally, there are instructions for those commercial operators requiring waivers/authorizations to operate in their airspace. https://www.faa.gov/uas/faqs/ Botlink provides answers to basic questions that new users, both recreational and commercial may have. Furthermore, there is information on Part 107 testing. https://botlink.com/blog/know-the-rules-drone-regulations-and-frequently-asked-questions The Department of Homeland Security reiterates the importance of UAS registration, explains temporary flight restrictions, and again outlines the steps to take in case of an accident. https://www.dhs.gov/unmanned-aircraft-systems-faq The complete list of what to know about flying UAS at airports in or around national parks. This resource by the Forest Service is comprehensive. https://www.fs.usda.gov/Internet/FSE_DOCUMENTS/fseprd523225.pdf The University of Cincinnati is but one example of UAS policy by a landowner providing guidance for UAS operators taking off from their land. It could be used to guide airport owners or operators. This policy provides a look at the rights of property owners over their land. https://www.uc.edu/content/dam/uc/af/financialpolicies/Docs/UASFAQs.pdf University of Colorado Boulder, just like University of Cincinnati above, is another example of landowner policy. https://www.colorado.edu/today/uas-policy-frequently-asked-questions Again, here is another similar policy, this time from Princeton University. https://drones.princeton.edu/learn-more/frequently-asked-questions Academy of Model Aeronautics is the ultimate source for recreational UAS users. This resource should be shared with anyone flying UAS recreationally on or around an airport. http://www.modelaircraft.org/aboutama/faa-uas-faq.aspx

110 An example of a State Department of Transportation policy guidance. This delves into the rules for public UAS use. http://www.wsdot.wa.gov/NR/rdonlyres/FD539D41-0AD9-41AE-917F- D1315E9C7B3A/0/UASFAQ.pdf

Toolkit 10: Engagement and Communication Strategies Prepared for: AIRPORT COOPERATIVE RESEARCH PROGRAM (ACRP) Project 03-42: Airports and UAS

112 Contents 1 Websites and Webpages .................................................................................................. 113 2 Social Media .................................................................................................................... 114 3 In-Person Information Sessions ...................................................................................... 114 4 Education and Training .................................................................................................. 115 5 Documentation ................................................................................................................ 116

113 1 Websites and Webpages The efficiency, benefits, and challenges of using a website as a UAS communication and engagement mechanism is summarized in the following table. WEBSITE/PAGE FUNCTION EXAMPLES BENEFITS CHALLENGES • Information, documentation, multi-media hosting and curation • Calendar, Schedule • Directories (point-of-contact identification) • Databases • Data collection, information submission • News, updates (active, non- active, level of activity) • Peer-to-peer sharing • Wikis • Blogs • Applications (apps) • User forums Regulation-oriented, government agencies: Federal Aviation Administration International Civil Aviation Organization (ICAO) National Association of State Aviation Officials (NASAO) Advocacy groups: Association for Unmanned Vehicle Systems International (AUVSI) Academy of Model Aeronautics (AMA) R/C Airplane World UAS users (including manufacturers or sellers, or service offers) Sensefly (blog) UAV Expert News Commercial UAV News Ability to disseminate information for stakeholders “on the go” and/or real-time updates Serving as a one-stop portal for information and resources Allowing quick access to materials Providing direct access and connection with other UAS stakeholders through blogs and peer-exchange forums Enabling flexibility in level of detail of information; ability to cater to specific, targeted audience Providing opportunities for direct engagement with UAS stakeholders Ability to monitor audience traffic for better understanding of what they are looking for Beneficial for addressing specific issues, shared experience among stakeholders Consistency and reliability of information and documents Legitimacy of website and information being communicated; for wiki pages, peer review is not confirmed Requiring regular maintenance to keep information relevant and updated Requiring dedicated capacity to ensure timely responses for information submission pages or contact forms Ensuring the appropriate /useful information or data are being collected Technology bugs that may cause the apps to crash or not display information properly

114 2 Social Media This table provides a summary of benefits and challenges of social media as an engagement and outreach tool. Similar to websites, social media provides various online platforms and approaches to reach stakeholders. Some prominent social media platforms include LinkedIn, Facebook, Twitter, YouTube, Instagram, SnapChat, and Reddit. SOCIAL MEDIA CATEGORY EXAMPLES BENEFITS CHALLENGES • Social Networking senseFLY AOPA Ability to quickly share information and reach new audience Offering more interactive platforms to engage and communicate with targeted audience Utilizing the engaged audience to help spread communication Requires users to subscribe or “follow” a service Dependent on host organization/group to upkeep information • Multimedia Sharing YouTube AMA model aircraft Drone Cast Ability to provide creative mediums to share information Requiring resources and capacity for developing creative multimedia products for sharing 3 In-Person Information Sessions Information sessions summarized in this table, represent a method commonly used to present specific information to an affected population; for example, a regulatory body presenting the details of a proposed regulatory change to a user population. Sessions can be conducted independently, as a standalone function hosted by the presenter, or as an element of a larger event (e.g., conference or symposium). Examples include briefings and presentations, seminars, webinars, town hall meetings, or community roundtables. IN-PERSON INFORMATION SESSIONS EXAMPLES BENEFITS CHALLENGES • Regulatory Forums • Standalone Function San Diego sUAS FAA Safety Team, sUAS (DRONE) Airspace Notification Authorizations and Waivers Updates Scalable to the audience, from local community to international conference Easily accessible to locally based stake holders Organizing and disseminating information to attendees before-hand Less accessible for non- local stakeholders

115 IN-PERSON INFORMATION SESSIONS EXAMPLES BENEFITS CHALLENGES • Townhall Meetings • Community Roundtable • Conference • Symposium FAA (FAA TV), UAS Integration Pilot Program Webinar Mohawk Valley Community College’s Center for Corporate & Community Education and the STEM Center and SkyOp, LLC, Drone/Unmanned Aerial Systems Training Information Session 4 Education and Training This table higlights some areas in the growing network of education resources, both free and paid, that are related to UAS. EDUCATION & TRAINING EXAMPLES BENEFITS CHALLENGES • Free Training • Free Workshops • Associates Degee Programs • Bachelor’s Degree Programs • Graduate Degree Programs • Professional Training FAA Safety Team, ALC- 451: Part 107 small Unmanned Aircraft Systems (sUAS) University of Bath, From State Control to Remote Control: Warfare in the 21st Century [MOOC] Embry-Riddle Aeronautical University, BS in UAS Science Cochise Community College, Associate of Applied Sciences- Unmanned Aircraft Systems and Operations Level of interaction is higher than other forms of information sharing Serves as a forum for participants to ask questions or voice concerns regarding the certification and integration challenges of the industry Evaluation of unique knowledge, skills, and/or abilities Third-party endorsement and auditing (e.g., accreditation and review) The level of interaction among peers (students), instructors, and other parties is typically higher in paid than free versions.

116 5 Documentation This table provides a summary of benefits and challenges of using documents as an engagement and outreach tool. The exchange of documentation provides the opportunity to share information to a desired audience through materials that can be distributed using websites or through direct exchange (physical or digital) with a target audience of individuals or groups. Unlike websites, documents are typically most appropriate for information that is relatively static, informational, and/or must be conveyed with an appropriate level of authority. DOCUMENTS CATEGORY EXAMPLES BENEFITS CHALLENGES • Reports Department of Homeland Security (DHS) - Unmanned Systems in Homeland Security (DHS, 2015-a) FAA - MicroUAS Aviation Rulemaking Committee Final Report Aerial Drones Provide Rail Safety from the Sky Permits distribution of knowledge to target audience Provides a citable and authoritative source for information conveyed Generally written for members of the community and less accessible to outside parties • Policies • Regulations Title 14 Code of Federal Regulations Part 107 (U.S. Government Publishing Office, n.d.- b) Memorandum: Educational Use of Unmanned Aircraft Systems (UAS) (FAA, 2016-b) Establishes clear guidelines on what is and is not permissible within a jurisdiction, system, organization, etc. Provides authoritative reference Documents can be inaccessible to new entrants into a community Establishes limits and expected practices, but provide limited guidance on best practices • Research Articles • Peer Reviewed Articles NASA UAS Traffic Management (UTM) Research Documents Website (NASA, n.d.) AIAA Aerospace Research Central (AIAA, n.d.-c) Conveys technical knowledge and research to an audience. Peer-review establishes a metric of quality upon the document For the UAS community, end-users such as commercial operators and recreational UAS users are less likely to engage with research articles Time-scale of peer review process makes information lag behind technological advances • Briefings • Presentations AIAA Public Policy Speeches and Testimony (AIAA, n.d.-d) Briefings document official statements from organizations Briefings are typically tailored to the attended audience and may be less

117 DOCUMENTS CATEGORY EXAMPLES BENEFITS CHALLENGES • Press Releases FAA UAS Test Site Designation (Cifuentes, 2014) American Association of Airport Executives Press Releases ([doc]AAAE, n.d.-a). regarding a topic of stakeholder interest Presentations provide access to information presented to stakeholders for those unable to attend presentation Press releases provide news media and community with organization’s statement to event, activity, etc. relevant to stakeholder community accessible to wider audiences Presentation slides and similar materials lack the spoken information conveyed in the actual presentation Reach of press release is variable based on interest of media, and less often passively reviewed by stakeholder community • Magazines • Newsletters AUVSI Unmanned Systems Magazine (AUVSI, n.d.-e) Academy of Model Aeronautics (AMA) Today News Letter (AMA, n.d.-b) Convey information accessible to its target stakeholder community. Subscribers are typically seeking information regarding the subjects covered. Engagement limited to subscriber population • Technical Manuals • Guidebooks FAA Interpretation of the Special Rule for Model Aircraft (FAA, 2014) ACRP Unmanned Aircraft Systems (UAS) at Airports: A Primer (NASEM, 2015). Provide clear instructions and guidance regarding procedures, safety guidelines, best practices, and suitable knowledge Engagement limited to those engaging in utilizing the materials, and does not engage with a wider audience • Textbooks • Study Guides • Workbooks Knowledge Test Study Guide (FAA, 2016-g) Small Unmanned Aircraft Systems Guide (Terwilliger et al., 2017) Provide clear and well- organized learning materials to stakeholder community Supports efforts for training and certification Costs of materials can limit reach of material for engagement. Tailored to specific members of stakeholder community with limited wider reach • Factsheets • Information Sheets Operations of Small Unmanned Aerial Systems in the United States National Airspace System (AMA, n.d.-c) Low development costs to produce Convey key information with high accessibility to stakeholder members While summarizing key information, they are not an authoritative source Costs for distribution of physical materials

118 DOCUMENTS CATEGORY EXAMPLES BENEFITS CHALLENGES How to Label your UAS (FAA, n.d.-f)