UAV Certification - Issues and Global Scenario

1.                  UAS and their Use

Unmanned Aircraft Systems (UAS) has become a major support for defense services both in war as well as during peace time. The UAS consists of the unmanned aircraft and the associated ground operational control and support system. The military UAS finds extreme useful application in both intelligence gathering as well as arms dropping in hostile areas where manned aircraft deployment is considered dangerous. A concept of military operation of UAV is shown in figure - 1. The military UAVs are normally operated in segregated air space (military airspace) and thus do not confront with civil aviation. Military UAV being state aircraft are self-certified by the military themselves and their operational safety is governed by the defense aviation safety plan (DASP) formulated by each countries defense organization.

                                             Figure - 1: Concept of Military UAV Operation  

In civil sectors also, UAS is gaining momentum to dominate in the surveillance, emergency or quick and urgent air transportation as well as homeland security. UAS is a broad term applicable to UAV, RPV as well as common name ‘drones’. Drones have become very attractive with great usefulness and additionally supported by low cost, low risk and off the shelf availability.

2. ICAO and Civil Aviation

Post World War, realizing the great potential of air transportation for transferring people and cargo over long distances at short time, US government invited 55 countries to participate for a discussion at Chicago in 1944. The International Civil Aviation Organisation (ICAO) was formed by 55 countries who met in Chicago in 1944 to promote international air transportation. ICAO was formed to promote international air navigation and to foster planning & development of international air transportation. Today ICAO has 197 member states.

ICAO was officially formed on 04 April 1947. The Chicago convention adopted a preamble, 96 articles and 18 Annexures. These articles form the basis of International Air Law and the annexures define International Standards and Recommended Practices (ISRP). Airworthiness Document No. 9670, ICAO was released for manned aircraft.

There are two prerequisites for the introduction of an airworthiness regulatory system for all member countries of ICAO (Refer: Airworthiness Doc 9670, ICAO)

  a)  The provision in the basic law of the state for a code of airworthiness regulations and the promulgation thereof, and

b)  The establishment of an appropriate State Entity with the necessary authority to ensure compliance with the regulations, known as Civil Aviation Authority (CAA).

This authority (like DGCA in India) only can issue certification and permission for flight operations.

2.1 ICAO Circular 328 for Unmanned Aircraft System

The unmanned aircraft system are in use for several decades in many countries. However, looking at the potential growth and possibility of flying of manned and unmanned aircraft in the national airspace in very near future, ICAO at its 37 General Assembly meeting in 2010 addressed regulatory issues on UAS and proposed a circular on Unmanned Aircraft System.

This circular was approved and released in 2011 as ICAO Cir 328/AN/190/2011. The circular Based on Chicago Convention and uses the same standards as manned aircraft. All ICAO annexures are made applicable to UAS.

It was felt that a Remotely Piloted Aircraft System (RPAS) may be considered to consist of an unmanned aircraft and a set of additional configurable elements of following items:

ü  associated remote pilot station(s)

ü  command-control links

ü  software

ü  health monitoring

ü  ATC communications equipment

ü  a flight termination system

ü  launch and recovery elements

ü  RPAS operations: in ATS airspace subject to authorization

ü  Segregated airspace established by AIP (Aeronautical Information Publication) and /or NOTAM (Notice to Air Men) issued by Civil Aviation Authority of the country

            Comments from member States on this circular, particularly with respect to its application and usefulness, would be used to finalise the operational procedures.

2.2  Regulatory Issues with UAV

Regularity issues to be considered while permitting UAV operation in National Air Space (NAS) require to address following points:

a)    Safety and Security of the UAS

b)    Issues of Co-lateral Damage

c)    Airworthiness, Continued Airworthiness and Environments

d)    Operations, Maintenance and Licensing of UAV

e)    Air Traffic Management (ATM)

3.  Library Congress Study - 2016

            To harmonize rules of drone operation presently existing in 12 countries (Asia and Europe) and the European Union Commission and make proposal to integrate rules for all drones, following issues were surveyed:

•      Regulations of drones based on weights

•      Agency of Implementation of Regulation (CAA or others)

•      UAS Registration and Labelling

•      Flight authorisation procedure

•      UAS operators qualification

•      Operational requirements

•      Real time supervision system and UAS cloud

The survey produced wide variations in the approach adopted in these countries.

4. Existing Regulations in some Countries

4.1 FAA Task Force Recommendation Nov 2015

FAA Aviation Rulemaking Committee made mandatory for small UAV owner (AUW from 250 gms to 25 Kg) be registered with effect from 21 Dec 2015 if the UAV is to fly in NAS (National Air Space). The UAV owner will be given a unique identification mark and all UAVs owned by him should display his identification mark on the UAV while flying.

The UAV need not be certified, however the flyer/owner must be registered and thereby obey operating rule under VFR (visual flight rules) condition. The concept is to prevent small & model Aircraft as well as UAV flying not to endanger NAS.

Federal Aviation Administration FAA Part 107 issued on 21 Jun 2016 gives
operation limitations. Further on 18 Dec 2107 at the request of U.S. national security andlaw enforcement agencies, the FAA using its existing authority under Title 14 of Code of Federal Regulations has restricted drone flights up to 400 feet within the lateral boundaries of the DOE (Department of Energy) installation sites.

4.2 EASA Civil Drone Regulation

a) Categories and Proposal

1)     Low Risk (Open) – Requires no prior authorization for operation

2)     Medium Risk (Specific) – Requires authorization from competent authority (based on risk mitigation plan)

3)     High Risk (Certified) – Requires certification; Both UA and RP need to be approved by CA for operation

b) Regulation Release

•      Prototype Regulation was published in August 2016.

•      Public Consultation Period expires on 15 Sep 2017

•      Final regulations will be submitted to EU (European Union) by the end of 2017.

4.3 Air Transport Circular UAS – DGCA, India

            Draft UAS Regulatory Circular issued by Directorate General of Civil Aviation, (DGCA), Government of India on 21.04.2016

a) UAS Classification

          Mini            < 2 Kg

          Micro          : 2- 20 Kg

          Small         : 20 – 150 Kg

          Large         : > 150 Kg

a)    UIN (Unique Identification  Number)

1)     All Unmanned Aircraft  will require UIN

2)     UA Operator permitted to fly > 200 ft, in Temporarily  Segregated Area

3)     Validity of UA Operational permit 2 years

4)     Sale/disposal of UAS with UIN must be informed to DGCA

5)     Other than micro UAV, all UAV RP (Remote Pilot) should have license

6)     UAS to be maintained as per manufacturer approved procedure

7)     Operator shall inform local Administration, ATS (Air Traffic Service) , BCAS (bureau of Civil Aviation  & Aerodrome office for operation indicating date, time and place.

5. Discussion and Conclusion

 The UAVs are employed in segregated areas at present, but there is a consensus views within the aerospace industry that the time is ripe when both manned and unmanned aerial vehicles will share the common air space. Thus the process of integrating the manned aircraft and UAV in the National Airspace has to be accepted and regulated. Thus, there is a needs to regulate the operation of UAS in one hand and at the same time the UAS themselves have to be certified to be airworthy by regulatory organizations.

On the airworthiness certification front the issues arise are

a)    Design standards to be followed for certification of UAV

b)    Reliability and Robustness of the UAS as well as the ground control stations

c)    Command Control and Guidance in the event of data link failure.

On the regulatory front issues arise are

a)    UAS mission and mission criticality

b)    Air Traffic Management for interoperability of UAS and manned aircraft in common airspace

c)    Collateral damage in the event of UAS failure during flight

Many countries and regulatory bodies like USA, UK, EASA and CASA have formulated the  operational procedure and regulatory control, however they are mostly in the form of notice of proposed amendment of existing manned regulation to include UAS or notice for introduction of new rules of operations for UAS. The finalised rules and regulations ar yet to be released.      

Reference: 

 1) Drone Laws in UK - what are the rules : http://www.telegraph.co.uk

 2) EASA publishes a proposal to operate small drones in Europe_EASA.pdf;  

     https://www.easa.europa.eu/tags/unmanned-aircraft-systems. 

 3) Regulations of Drones: April 2016; The law library of congress; http://www.law.gov.

 4) ICAO Circular 328.