UAS Integration into Civil Airspace E-Book

Douglas M. Marshall

• Herausgeber: John Wiley & Sons
• Kategorie: Fachliteratur
• Serie: Aerospace Series (PEP)
• Sprache: Englisch

Seitenzahl: 426

Veröffentlichungsjahr: 2022

Beschreibung

UAS Integration into Civil Airspace

Explores current Unmanned Air Systems policies with a view to developing a common airspace access and integration strategy

UAS Integration into Civil Airspace: Policy, Regulations and Strategy examines the current state of Unmanned Aerial Systems (UAS) airspace access and integration around the world, focusing on the efforts that have produced a regulatory response to the demand for access. This analysis discusses the proposed architectures for a common strategic and analytical thread that may serve as templates for the entire community, as well as for regulators and policymakers who must balance the needs and demands of UAS users with the general public’s right to safe skies and privacy. An understanding of the market forces and business cases that are fuelling the development of the technology is also covered with a focus on the economics of the industry.

The book presents a strategy for airspace access and integration that will facilitate humanitarian, environmental, social and security uses of unmanned aircraft systems on a global scale.

Key features:

• Discusses existing and evolving policies and regulations from nations around the world for operating Unmanned Aerial Systems (UAS) in civil airspace
• Examines the current status of technological developments such as UTM and U-space and explores the technological potential in the years to come
• Presents a comprehensive airspace integration strategy that balances the many conflicting interests in the UAS world, with due regard for safety, utility and affordability

UAS Integration into Civil Airspace: Policy, Regulations and Strategy is essential reading for all professionals involved in UAS industry, as well as students in mechanical engineering and law.

Leseprobe

Aerospace Series

Introduction to UAV Systems, Fifth EditionPaul G. Fahlstrom, Thomas J. Gleason, Mohammad H. Sadraey

Introduction to Flight TestingJames W. Gregory, Tianshu Liu

Foundations of Space DynamicsAshish Tewari

Essentials of Supersonic Commercial Aircraft Conceptual DesignEgbert Torenbeek

Design of Unmanned Aerial SystemsMohammad H. Sadraey

Future Propulsion Systems and Energy Sources in Sustainable AviationSaeed Farokhi

Flight Dynamics and Control of Aero and Space VehiclesRama K. Yedavalli

Design and Development of Aircraft Systems, 3rd EditionAllan Seabridge, Ian Moir

Helicopter Flight Dynamics: Including a Treatment of Tiltrotor Aircraft, 3rd EditionGareth D. Padfield CEng, PhD, FRAeS

Space Flight Dynamics, 2nd EditionCraig A. Kluever

Performance of the Jet Transport Airplane: AnalysisMethods, Flight Operations, and RegulationsTrevor M. Young

Small Unmanned Fixed-wing Aircraft Design: A PracticalApproachAndrew J. Keane, András Sóbester, James P. Scanlan

Advanced UAV Aerodynamics, Flight Stability andControl: Novel Concepts, Theory and ApplicationsPascual Marqués, Andrea Da Ronch

Differential Game Theory with Application to Missilesand Autonomous Systems GuidanceFarhan A. Faruqi

Introduction to Nonlinear AeroelasticityGrigorios Dimitriadis

Introduction to Aerospace Engineering with a Flight TestPerspectiveStephen Corda

Aircraft Control AllocationWayne Durham, Kenneth A. Bordignon, Roger Beck

Remotely Piloted Aircraft Systems: A Human SystemsIntegration PerspectiveNancy J. Cooke, Leah J. Rowe, Winston Bennett Jr., DeForestQ. Joralmon

Theory and Practice of Aircraft PerformanceAjoy Kumar Kundu, Mark A. Price, David Riordan

Adaptive Aeroservoelastic ControlAshish Tewari

The Global Airline Industry, 2nd EditionPeter Belobaba, Amedeo Odoni, Cynthia Barnhart

Christos KassapoglouIntroduction to Aircraft Aeroelasticity and Loads,2nd EditionJan R.Wright, Jonathan Edward Cooper

Theoretical and Computational AerodynamicsTapan K. Sengupta

Aircraft Aerodynamic Design: Geometry and OptimizationAndrás óbester, Alexander I J Forrester

Stability and Control of Aircraft Systems: Introduction to Classical Feedback ControlRoy Langton

Aerospace PropulsionT.W. Lee

Civil Avionics Systems, 2nd EditionIan Moir, Allan Seabridge, Malcolm Jukes

Aircraft Flight Dynamics and ControlWayne Durham

Modelling and Managing Airport PerformanceKonstantinos Zografos, Giovanni Andreatta, AmedeoOdoni

Advanced Aircraft Design: Conceptual Design, Analysisand Optimization of Subsonic Civil AirplanesEgbert Torenbeek

Design and Analysis of Composite Structures: WithApplications to Aerospace Structures, 2nd EditionChristos Kassapoglou

Aircraft Systems Integration of Air-LaunchedWeaponsKeith A. Rigby

Understanding Aerodynamics: Arguing from the RealPhysicsDoug McLean

v Engineering ApproachMohammad H. Sadraey

Theory of Lift: Introductory ComputationalAerodynamics in MATLAB/OctaveG.D. McBain

Sense and Avoid in UAS: Research and ApplicationsPlamen Angelov

Morphing Aerospace Vehicles and StructuresJohn Valasek

Spacecraft Systems Engineering, 4th EditionPeter Fortescue, Graham Swinerd, John Stark

Unmanned Aircraft Systems: UAVS Design, Development and DeploymentReg Austin

Gas Turbine Propulsion SystemsBernie MacIsaac, Roy Langton

Aircraft Systems: Mechanical, Electrical, and Avionics Subsystems Integration, 3rd EditionIan Moir, Allan Seabridge

Basic Helicopter Aerodynamics, 3rd EditionJohn M. Seddon, Simon Newman

System Health Management: with Aerospace ApplicationsStephen B. Johnson, Thomas Gormley, Seth Kessler, CharlesMott, Ann Patterson-Hine, Karl Reichard, Philip ScanduraJr.

Advanced Control of Aircraft, Spacecraft and RocketsAshish Tewari

Air Travel and Health: A Systems PerspectiveAllan Seabridge, Shirley Morgan

Principles of Flight for PilotsPeter J. Swatton

Handbook of Space TechnologyWilfried Ley, KlausWittmann, Willi Hallmann

Cooperative Path Planning of Unmanned Aerial VehiclesAntonios Tsourdos, BrianWhite, Madhavan Shanmugavel

Design and Analysis of Composite Structures: WithApplications to Aerospace StructuresChristos Kassapoglou

Introduction to Antenna Placement and InstallationThereza Macnamara

Principles of Flight SimulationDavid Allerton

Aircraft Fuel SystemsRoy Langton, Chuck Clark, Martin Hewitt, Lonnie Richards

Computational Modelling and Simulation of Aircraft and

the Environment, Volume 1: Platform Kinematics andSynthetic EnvironmentDominic J. Diston

Aircraft Performance Theory and Practice for Pilots,2nd EditionPeter J. Swatton

Military Avionics SystemsIan Moir, Allan Seabridge, Malcolm Jukes

Aircraft Conceptual Design SynthesisDenis Howe

UAS Integration into Civil Airspace

Policy, Regulations and Strategy

Douglas M. Marshall

This edition first published 2022

© 2022 John Wiley & Sons Ltd

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Contents

Cover

Series page

Title page

Copyright

About the Author

Preface

Aerospace Series Preface

Acknowledgements

List of Acronyms and Abbreviations

1 Background

Introduction

Setting the Stage for Integration of Remotely Piloted Aircraft into Non-segregated Airspace

The Law of the Sea and the Law of the Air

A Brief History of Aviation Regulations

International Civil Aviation Regulations

The Chicago Convention and the International Civil Aviation Organization

Conclusion

References

2 UAS Airspace Integration in the European Union

Regulations, Opinions, Decisions

Implementing Organizations

Eurocontrol

Conclusion

References

3 ICAO

ICAO Model UAS Regulations

Advisory Circulars

DRAFT Canada AC 922-001, RPAS Safety Assurance

UTM Guidance

ICAO RPAS Concept of Operations

ICAO U-AID Guidance

The ICAO UAS Toolkit

RPAS Manual (Doc.) 10019 1

st

Edition

Conclusion

References

4 UAS Airspace Integration in the United States

The FAA Modernization and Reform Act of 2012 (Hereafter FMRA), Public Law 112-95, Title III – Safety, Subtitle B – Unmanned Aircraft Systems

The FAA Extension, Safety, and Security Act of 2016 Title II, Subtitle B-UAS Safety (Pub. L. 114-190)

The FAA Reauthorization Act of 2018 (Pub. L. 115-254)

The Response from the FAA and NASA

Status of UTM Today

UTM Vision

Participation

Performance Authorizations

Airspace Authorization

Recent Developments in UAM/AAM

Conclusion

References

5 Global Airspace Integration Activities

Australia

Brazil

Canada

China

France

Germany

Ireland

Italy

Japan

Mexico

Netherlands

New Zealand

Norway

Singapore

South Africa

Sweden

United Kingdom

Conclusion

References

6 The Role of Standards

Conclusion

References

7 The Technology

Conclusion

References

8 Cybersecurity and Cyber Resilience

Describing the Threat

ICAO

IATF

Global Resilient Aviation Network Concept of Operations – Trust Framework

ICAO Council and Assembly Documents

Declaration on Cybersecurity in Civil Aviation (Dubai, 2017)

Conclusion

References

Index

End User License Agreement

List of Figures

Chapter 4

Figure 4.1 Drones in flight in downtown Reno, Nevada,...

Figure 4.2 UTM system managing various commercial,...

Figure 4.3 Future airspace management domains to...

Figure 4.4 FAA Next Gen Notional UTM Architecture...

Figure 4.5 UTM Ecosystem (FAA website). A full-colour...

Figure 4.6 UPP High-level Operational Concept...

Guide

Cover

series page

Title page

Copyright

Table of Contents

About the Author

Preface

Aerospace Series Preface

Acknowledgements

List of Acronyms and Abbreviations

Begin Reading

Index

End User License Agreement

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About the Author

Douglas M. Marshall, ** J.D., is the owner of TrueNorth Consulting LLC, a UAS support and service organization founded in 2007. He has served as an Adjunct Professor of Law, DePaul University College of Law, where he developed and delivered the first drone law course in an American law school. Previously, he was a division manager, UAS Regulations & Standards Development at the Physical Science Laboratory, New Mexico State University, and Professor of Aviation at the University of North Dakota. He is the co-editor of two books related to aviation, and is the author of numerous published articles on aviation law, regulations, and remotely piloted aircraft.

Preface

In early 2009 Fred Smith, founder, chairman and CEO of the venerable cargo airline, FedEx, declared in an interview that he would like to switch the FedEx fleet to unmanned aircraft as soon as possible, but would have to wait for the FAA to sort out the rules for national airspace integration. In his view, unmanned cargo freighters offer many advantages for his company, predicting that they would be safer, cheaper, and would boast a greater capacity. The result would be a reduction of airfreight prices from ten times the cost of surface-carried freight to a factor of two, with all the speed advantages of air over ground or ocean transportation. Smith pointed out that the modern version of the Boeing 777 is already capable of being operated unmanned, in that the aircraft can take off, fly, navigate, and land without human intervention (and could even be equipped with an autonomous ground guidance system so the aircraft can be “driven” around an airport environment without running into or over someone or something). The same is true of most of the newest passenger aircraft types. The cost savings would derive from the fact that even a single-pilot aircraft requires a completely different design, with radically different economics and logistics. Smith might characterize the economic opportunity as “unused capacity,” or what can be removed from the airplane that would allow an increased load. Systems such as oxygen, pressurization system, lavatories, extra seats, gallies, all intended for the comfort of the crew, can be eliminated and replaced with revenue-generating non-breathing cargo. The concept is not a pipe dream. Northrop Grumman’s Global Hawk reconnaissance aircraft, which is the size of a small business jet, has been flying entirely autonomous missions for several years, meaning that the aircraft is capable of taxing to the runway, taking off, executing its flight plan, and landing at its intended destination without any human intervention.

Aside from the obvious concerns from those who do not trust technology to safely permit a large commercial aircraft to operate without a pilot on board, even over the oceans rather than populated terrain, Smith hit on one of the key elements that inhibits such operations from being approved by government regulators. The “holy grail” in the small UAS technology space is now national airspace (NAS) integration. Will society ever get to the point where autonomous systems will be allowed to operate in the same airspace as manned or piloted aircraft, or even be sufficiently comfortable with the safety mitigations to travel in an aircraft without a pilot on board? While the concept is no longer in the realm of futuristic representations of how things will be in 2050, as depicted in motion pictures and television productions, scaled-down versions of that vision are in the making now. Electrically powered aircraft are in the airworthiness approval stage with the FAA. Urban air mobility concepts under development by companies such as Airbus, Joby Aviation, Kitty Hawk, Lilium, Terrafugia, and Uber Air are well on their way to securing civil aviation authority approvals to market eVTOL (electric vertical takeoff and landing) prototypes that can operate at low altitudes in urban environments. “Self-flying” air taxis are already taking passengers on test flights in Chinese cities. Researchers, developers, regulators, and others are working very hard to create remotely piloted systems that can share airspace at lower airspace levels, in an environment that is unlikely to confront a remotely piloted B777 loaded to the rafters with computer chips and smart phones, and flying at 400 feet above ground at 250 kts. What is now possible is a remotely or autonomously piloted aircraft carrying emergency medical supplies to a person in need, dispatched from the nearest public safety facility and operating in your neighborhood at an altitude of less than 250 feet above ground level (AGL), possibly saving a life. Or delivering that FedEx package that may have been carried to a distribution center by a conventional aircraft, but replacing the ground vehicle currently needed to complete the last leg of the journey. While technologically possible now, these scenarios may only take place outside of strictly controlled test environments under the watchful eyes of regulatory agencies such as the US Federal Aviation Administration or its functional equivalents elsewhere, national civil aviation authorities.

There are many moving parts in the realm of unmanned aircraft systems. Capturing all of them and doing them justice would require several volumes. The one essential component of the UAS “big picture” is airspace management; thus the focus of this book. Even that subcategory calls for a recursive analysis, as any technology is made up of many components that themselves are technologies, which have subparts that are also technologies, and so on, in a repeating, or recurring fashion. The airspace management function is typically the exclusive province of civil aviation authorities focused on safety and the fundamental goal of keeping aircraft separated from one another so as to not create a hazard of a mid-air collision. This function has been largely successful for over 60 years, depending upon the country in question. Generally, the denser the airspace traffic, the greater the likelihood of a mishap. Midair collisions, though relatively rare when compared to the number of aircraft in flight at any one time in congested airspace, such as parts of the US and Europe, still happen, often with tragic results. In the list of the top 10 leading causes of fatal general aviation accidents in the US from 2001 to 2017, the last year this statistic is available, midair collisions ranked number eight. The number of near-midair collisions reported each year is approximately 200, and actual collisions average between 15 and 20. General aviation hours flown (those most important to our analysis because they are more likely to be found at low operating levels), totaled 25.9 million in the calendar year 2019.

The theme of this book focuses on just one of those many moving parts, the integration of unmanned aircraft into controlled and uncontrolled airspace. The ongoing regulatory and policy efforts around the world to achieve full airspace integration will be examined, which requires a functional breakdown of the key elements of the technology that must meet regulatory requirements before the systems will be permitted to go into full operation. Predictions of the future in this technology sector are fraught with uncertainty, but an attempt will be made to outline a probable path forward as revealed by government regulators and myriad interested parties. Among the other moving parts are ongoing regulatory developments for Operations Over People, operations Beyond Visual Line of Sight of the pilot in command, Remote Identification of aircraft, and Night Operations. While these components are critical features of the overall challenge of airspace integration, they will not be discussed in detail in this volume, except to the extent that it is necessary to clarify their role in the integration picture.

The rapid evolution of the technology underlying unmanned aircraft, unmanned aircraft systems, remotely piloted aircraft systems, and, more commonly, drones, among other terms of art, presents a formidable challenge to anyone attempting to encapsulate the entire domain in one book. The broad notion of unmanned or remotely piloted aircraft has been with us for over a century. Society has witnessed extraordinary developments in the field of unmanned aviation over the last 30 years or so. The categories or topics that now define or bound the current state of the art of this technology are too numerous to list here, but will be discussed in the body of this book.

The media and popular press adopted the catchall label “drone,” while experts and regulators generally prefer UAV, UAS, RPA, or RPAS instead of “drone,” because the term “drone” once had a very specific meaning. The early descriptions of these types of aircraft settled on “drone,” although the historical root of the term remains controversial (likened to a honeybee drone, or perhaps derived from a 1930s British target drone called a “Queen Bee”? No one really knows). In the earliest phases of development of unmanned aircraft, “drone” referred to target aircraft or remotely piloted offensive weapons deployed by both sides in both World Wars. Today’s unmanned aircraft are far more sophisticated, and in most cases more capable of non-military missions than the “true” drones of nine decades ago. This book will use drone, UAS, sUAS, UAV, UAS, and RPAS more or less interchangeably, as a matter of style and continuity, unless the specific term used calls for an explanation of why it is used in the context of the discussion.

Military organizations, primarily in the United States, led the way in developing drone technology from flying targets for aircraft weaponry and surface-based artillery to aerial sensor systems modified for intelligence, surveillance, and reconnaissance (ISR) missions. That capability soon led to development of platforms capable of carrying and deploying highly effective offensive munitions (such as the General Atomics’ Predator and Reaper series used in the first Gulf War and thereafter in subsequent Middle East conflicts).

Alongside the military’s tactical and strategic adoption of unmanned aerial systems, and the emerging market for civilian or scientific versions of those systems, the consumer sector emerged, which quickly realized the potential for unmanned systems in both the recreational and commercial arenas. Small (weighing less than 55 lb, or 2.2k), fixed-wing and rotorcraft contrivances were soon adapted for aerial photography, agriculture, building and infrastructure inspection, package delivery, entertainment, and any number of other applications having nothing to do with military operations. The sudden “Cambrian Explosion” of affordable and highly capable (consumer based) small UAS soon overwhelmed civil aviation authorities around the world with demands for access to low level airspace for a multitude of civilian uses.

The growth of this technology has outpaced the ability of governing authorities at all levels, international, national, regional and local, to keep up with the changes and promulgate rules, regulations, and standards for the operation of these systems in the public domain, namely the airspace above the surface. As a consequence, rogue operators and abusers of the technology have created havoc with their misuse of consumer drones to invade privacy, disrupt wildlife, interfere with firefighting and law enforcement activities, endanger manned aircraft operations around airports, and any number of irresponsible uses of affordable and readily available off-the-shelf drones. The need for safe and predictable environments for legitimate users of this technology is paramount, and airspace integration strategies are likely to offer the most achievable solutions.

This book will only briefly address the history of this technology, as many other publications have covered the same ground, but will provide a framework for understanding and evaluating just one critical element of this extremely complex environment: how to integrate these systems, large and small, fast and slow, heavy and light, all without pilots on board, with other occupants of the airspace, namely manned aviation, and how to do it safely, equitably, and efficiently to minimize the risk of disaster and maximize the economic opportunities sought by the users of the airspace. The full solution to the safe integration challenge, which has eluded the experts, developers, and regulators thus far, is the key to the further advancement of the technology beyond its current status. The ongoing global efforts characterize the potential solutions to this challenge as Unmanned Aircraft Traffic Management (UTM), or Unmanned Aircraft Systems Space (U-Space), or Advanced/Urban Air Mobility (AAM/UAM), depending upon in which part of the world the effort originates.

Organization of the Book

The following chapters will introduce the reader to the major issues confronting the developers of these strategies and provide a brief introduction to what each nation or group of nations is doing to address those issues. The templates adopted by the major contributors as they work their way through the often conflicting and sometimes overlapping regulatory environments in which they must operate to be successful are discussed in greater detail. There are many parallel efforts to identify a path to full integration of unmanned systems with manned aviation, and they do not all agree on the strategy or the architecture to make it so. For this reason, this book is unashamedly broad in scope in some respects and rather narrow in others. The goal is to identify a common way forward for the evolving UAS industry and the regulatory authorities that must enable and monitor its growth to ensure public safety and economic viability.

Chapter 1 “Background” introduces a thumbnail history of aviation regulations, derived in some respects from the ancient Law of the Sea. This chapter briefly summarizes the first attempts to regulate airplanes and their pilots in the UK, the creation of an international regulatory body (ICAO) in 1944 as a product of the Chicago Convention on International Civil Aviation, and then moves on to the present-day regulatory system, both national and international, that oversees all aspects of commercial and private aviation.

Chapter 2 “UAS Airspace Integration in the European Union” is a longer chapter, and attempts to cover historical and ongoing regulatory efforts in the European Union regarding unmanned aircraft operations and standards. The EU has been very busy adopting regulations for UAS that will apply across all of its Member States, and more recently embarked upon the concept of a “U-space” that is intended to integrate UAS/RPAS into the European airspace by establishing a new concept for how the airspace can be managed while not disrupting existing commercial and general aviation activities.

Chapter 3 “ICAO” covers the International Civil Aviation Organization and its airspace integration activities with specific focus on remotely piloted aircraft systems.

Chapter 4 “UAS Airspace Integration in the United States” discusses airspace integration efforts in the United States, in coordination with Europe’s EASA and other national aviation authorities.

Chapter 5 “Global Airspace Integration Activities” takes a look at UAS integration efforts in a few selected countries that are considered to be representative of similar efforts in a growing number of ICAO’s 193 Member States.

Chapter 6 “The Role of Standards” examines the role of Standards Development Organizations (SDOs) in the development of regulations and best practices.

Chapter 7 “The Technology” discusses the various domains of the evolving UAS and UTM/U-space technology, and includes suggestions for a methodologies for conducting a risk assessment and functional decomposition of complex systems. Chapter 8 “Cybersecurity and Cyber Resilience” offers a historical view of global cybersecurity failures and ties that history to current efforts to identify risks and defensive mechanism to ensure the security of aviation systems.

This is not an engineering text, nor is it a law book, but is a bit of a hybrid of both, focused on the study of one highly technical sector of innovation and economic growth from the proverbial “30,000 ft” view. The reader is cautioned, however, that the technology advances are extremely dynamic, and innovation, or “the next best thing,” is almost a daily occurrence, so that accurately predicting the future is a fool’s errand. As new challenges emerge, entrepreneurs and developers will step up to meet them, occasionally creating a new technology or new subset of existing technology that may not have existed even a year ago. The best we can do is to understand what is happening at this point in time and acquire the tools to respond to the breakneck pace of innovation in unmanned aircraft systems.

Aerospace Series Preface

The field of aerospace is multidisciplinary, covering a large variety of products, disciplines and domains, not merely in design and engineering but in many related supporting activities. The interaction of these diverse components enables the aerospace industry to develop innovative and technologically advanced vehicles and systems. The Aerospace Series aims to be a practical, topical, and relevant series of books aimed at people working in the aerospace industry, including engineering professionals and operators, engineers in academia, and allied professions such as commercial and legal executives. The range of topics is intended to be wide ranging, covering design and development, manufacture, operation and support of aircraft, as well as infrastructure operations and advances in research and technology.

Unmanned air vehicles are a growing and increasingly accepted part of the aerospace environment. Small UAVs equipped with appropriate sensors can carry out leisure, small industry and official roles in the visible and IR spectrum. As their use expands, unmanned air systems will inevitably become involved with, and potentially conflict with, manned vehicles – as has already been demonstrated by numerous encounters near airports. There will need to be new regulations to allow the co-existence of UAVs with GAS, rotary wing, regional and transnational operations. These new regulations could require changes to on-board navigation and proximity warning systems as well as to ATM practices and standards.

This book – UAS Integration into Civil Aerospace – explores the integration of unmanned aircraft into controlled and uncontrolled airspace. It provides a comprehensive overview of regulatory and policy efforts required to move towards full airspace integration, as well as the technology that must be developed and approved for full operation of UAV systems. It also addresses the critical questions of cybersecurity and cyber resilience as they relate to UAV airspace integration. The global ATM system depends heavily on electronic communications and interconnectivity, any interruption of which could lead to potentially catastrophic consequences.

With the rapid evolution of UAV technology, aviation regulators at international, national, and local levels have struggled to keep pace with appropriate rules and standards to ensure that UAV systems operate in shared airspace in a safe, equitable, and efficient manner. This book outlines a path forward that minimizes the safety risks while maximizing potential economic benefits for all users of the airspace. In line with the mission of the Aerospace Series, it combines elements of engineering and emerging technology with an accessible discussion of the important related legal and regulatory issues.

Peter Belobaba, Jonathan Cooper, and Allan Seabridge

Acknowledgements

I gratefully acknowledge the contributions of the following people: Michael Baum for listening to me and in some respects collaborating with me on a previous book; Peter La Franchi for providing valuable information from his perch in Australia; and of course, Sandi for her encouragement and support through the evolution of this book.

List of Acronyms and Abbreviations

3GPP

3rd Generation Partnership Project

AAM/UAS

Advanced Air Mobility/Urban Air Mobility

ACs

Advisory Circulars

ACAS

Aircraft Collision Avoidance System

ADR

Aerodrome

ADSB-Out

Automatic Dependent Surveillance Broadcast-Out

AFAC

Civil Aviation Federal Agency (Mexico)

AGL

Above Ground Level

AIAA

American Institute of Aeronautics and Astronautics

AIP

Aeronautical Information Publications

AIS

Aeronautical Information Service

ALJ

Administrative Law Judges

AMA

Academy of Model Aeronautics

AMC

Acceptable Means of Compliance or Alternate Means of Compliance

AMQP

Advanced Message Queuing Protocol

ANS

Air Navigation Services

ANSI

American National Standards Institute

ANSP

Air Navigation Service Providers

ARAG

Aviation Rulemaking Advisory Group (FAA)

ARC

Aviation Risk Category/Aviation Rulemaking Committee

ASBU

Aviation System Block Upgrade

ASTM

ASTM International (formerly American Society for Testing and Materials)

ATC

Air Traffic Control

ATCO

Air Traffic Control Organization

ATM

Air Traffic Management

ATO

Air Traffic Organizations

ATS

Air Traffic Services

AURA

Air Traffic Management U-space Project

BCAs

Bridge Certificate Authorities

BVLOS

Beyond Visual Line of Sight

C2

Command and Control

CA

Certificate Authority

CAA

Civil Aviation Authorities

CAAC

Civil Aviation Administration of China

CAAS

Civil Aviation Authority of Singapore

CANSO

Civil Air Navigation Services Organization

CAPSCA

Public Health events in civil aviation

CASA

Civil Aviation Safety Authority (Australia)

CAST

Commercial Aviation Safety Team

CIR

Commission Implementing Regulation

CIS

Common Information Service

CISA

Cybersecurity and Infrastructure Security Agency

CFR

Code of Federal Regulations

CNS

Communications/Command, Navigation, Surveillance

COA

Certificate of Authorization or Waiver (USA)

CONOPs

Concept of Operations

CORUS

Concept of Operation for EuRopean Unmanned Air Traffic Management Systems

CORUS-XUAM

Concept of Operations for European UTM Systems – Extension for Urban Air Mobility

CPDLC

Controller Pilot Data Link Communications

CSIS

Center for Strategic and International Studies

CU

Command Unit

C-UAS

Counter UAS

DAA

Detect and Avoid (system)

DAIM

Drone Aeronautical Information Management

DD/ASF

Deputy Director, Aviation Security and Facilitation

DDoS

Distributed Denial of Service

DNS

Domain Name System

DNSSEC

Domain Name System Security Extensions

DOC

Declaration of Compliance

DOD

Department of Defense (USA)

EASA

European Aviation Safety Agency

EC

European Commission

ENAC

Italian Civil Aviation Authority

ENCASIA

European Network of Civil Aviation Safety Investigation Authorities

EPAS

European Plan for Aviation Safety

EU

European Union

EUROCAE

European Organization for Civil Aviation Equipment

EUROCONTROL

European Organization for the Safety of Air Navigation

eVTOL

Electric-powered Vertical Takeoff and Landing

FAA

Federal Aviation Administration

FAR

Federal Aviation Regulations

FCC

Federal Communications Commission

FCC

Flight Control Computers

FCL

Flight Crew Licensing

FDIC

Federal Deposit Insurance Corporation

FIMS

Flight Information Management Systems

FLARM

Flight and Alarm

FMRA

FAA Modernization and Reform Act

FMS

Flight Management Systems

FTC

Federal Trade Commission

FUA/AFUA

Flexible Use of Airspace/Advanced Flexible Use of Airspace

GANP/ANP

Global and Regional Air Navigation Plan/Air Navigation Plan

GIS

Geographic Information Service

GM

Guidance Material

GNSS

Global Navigation Satellite System

GRPS

Global Risks Perception Survey

GSMA

Groupe Speciale Mobile Association

gTLD

generic Top-Level Domain

GUTMA

Global UTM Association

IAA

Irish Aviation Authority

IANA

Internet Assigned Numbers Authority

IATA

International Air Transport Association

IATF

International Aviation Trust Framework

ICC

Interstate Commerce Commission

ICAO

International Civil Aviation Organization

ICC

Interstate Commerce Commission

IEC

International Electrotechnical Commission

IEEE

Institute of Electrical and Electronics Engineers

IETF

Internet Engineering Task Force

IFR

Instrument Flight Rules

IIC

Investigator in Charge

ILT/ILENT

Environment and Transport Inspectorate

IoT

Internet of Things

IP

Internet Protocol

IPP

UAS Integration Pilot Program (USA)

IPv6

Internet Protocol version 6

IR

Implementing Rules

ISMS

Information Security Management System

ISO

International Organization for Standards

ITU

International Telecommunications Union

JAA

Joint Aviation Authorities

JARUS

Joint Authorities for Rulemaking on Unmanned Systems

JMS

Java Message Service

LAANC

Low Altitude Authorization and Notification Capability

LCOS

United Nations Convention on the Law of the Seas

LRC

Linear Responsibility Chart

LTE

Long Term Evolution

LUC

Light UAS Certificate

MLITT

Minister of Land, Infrastructure, Transport and Tourism (Japan)

MS

Member States

MTOW

Maximum Takeoff Weight

NAA

National Aviation Authority

NAS

National Airspace System

NASA

National Aeronautics and Space Administration (USA)

NGO

Non-governmental Organizations

NIST

National Institute of Science and Technology

NOA

Notice of Availability

NOTAM

Notice to Airmen

NPA

Notice of Proposed Amendment

NPRM

Notice of Proposed Rulemaking

NTSB

National Transportation Safety Board

OCHA

United Nations Office for the Coordination of Humanitarian Affairs

OPS

Operations

ORA

Operational Risk Assessment

PANS

Procedures for Air Navigations Services

PAO

Public Aircraft Operations

PDRA

Predefined Risk Assessment

PKI

Public Key Infrastructure

PSU

Providers of Services for UAM

QNH

Question Nil Height; Barometric Pressure Adjusted to Sea Level

RA

Registration Authority

RACI

Responsible, Accountable, Consulted, Informed

RID

Remote Identification

RFI

Requests for Information

RMT

Rulemaking Task

RPA

Remotely Piloted Aircraft

RPAS

Remotely Piloted Aircraft Systems

RPIC

Remote Pilot in Command

RTCA

Radio Technical Commission for Aeronautics

SACAA

South African CAA

SAE

Society of Automotive Engineers

SAFIR

Safe and flexible integration of initial U-space services in a real environment

SARPS

Standards and Recommended Practices

SDOs

Standards Development Organizations

SDSPs

Supplemental Data Service Providers

SEC

Securities and Exchange Commission

SERA

Standardized European Rules of the Air

SES

Single European Skies

SESAR-JU

Single European Sky Air Traffic Management Research Joint Undertaking

SIDs

Standard Instrument Departures

SIO

Systems Integration and Operationalization Demonstration Activity

SMM

The Safety Management Manual

SORA

Specific Operations Risk Assessment

SRM

Safety Risk Management

SSGC

Secretariat Study Group on Cybersecurity (ICAO)

SSR

Secondary Surveillance Radar

STARS

Standard Terminal Automation Replacement System

STS

Standard Scenario

sUAS

Small Unmanned Aircraft System

SUPPS

Regional Supplementary Procedure

SWIM

System Wide Information Management

TCL

Technical Capability Levels

TLD

Top Level Domain

TLS

Transport Layer Security

TMA

Terminal Maneuvering/Control Area

UA

Unmanned Aircraft

UAM

Urban Air Mobility

UAS

Unmanned Aircraft System

UAS-AG

Unmanned Aircraft Systems Advisory Group

UNCLOS

United Nations Conference on the Law of the Seas

UPP

UTM Pilot Program (USA)

USP

UTM Service Provider

USS

UAS Service Provider

UTM

Unmanned Aircraft Systems Traffic Management

UVR

UAS Volume Reservations

VFR

Visual Flight Rules

VHL

Very High Level

VLD

Very Large-Scale Demonstration

VLL

Very Low Level (airspace)

VLOS

Visual Line of Sight

VPN

Virtual Private Network

VUTURA

Validation of U-Space Tests in Urban and Rural Areas

WEF

World Economic Forum

WJHTC

William J. Hughes Technical Center (FAA)

1 Background

Introduction

Every civilized nation has some form of rules, regulations, policies, and laws that regulate economic activities and social behaviour. The scope and process for the creation of these guidelines varies widely among nations, depending upon many factors that derive from the form of government and cultures that produce those rules. As a society grows more open and more complex, more rules and regulations may become necessary to maintain order and protect people from harm that may result from the unrestricted activities of others. Those harms can be physical, health related, economic, environmental, or any number of potentially damaging outcomes from a governmental entity, an organization, or an individual doing or failing to do something that threatens the well-being of others. As the technology of unmanned aircraft systems has evolved and more potential users seek to deploy them for recreational, commercial, scientific, or public safety purposes, national and local governments have attempted to address the challenges presented by the integration of remotely piloted aircraft into national civil airspaces, particularly the perception of increased risk of harm to persons or property, by developing regulations that address the risk management and policy issues resulting from the use of these devices.

Since there is no settled overarching international law, treaty, or body of community-based standards that governs unmanned aerial systems (although several such efforts are underway), the developer, manufacturer, distributor, and end user must be wary of the potential for inadvertent violations of existing law, or of having a formerly permitted activity become illegal or proscribed as a result of a change in the rules. Methodologies for understanding the existing rules and participating in the process of developing new or modified rules should be key elements in the business plan for any individual or entity seeking to participate in the unmanned systems arena. Likewise, government regulators can benefit from comprehensive and adaptable criteria for the development of new technologies and the safe integration of those technologies into complex airspace systems.

Setting the Stage for Integration of Remotely Piloted Aircraft into Non-segregated Airspace

Like the oceans, the world’s airspace is a public resource, owned by no one. Territorial waters adjacent to continents, islands, and land masses are controlled by the nations that claim sovereignty over the land contiguous to the oceans. International treaties such as the United Nations Conference on the Law of the Seas (UNCLOS) and United Nations Convention on the Law of the Seas (LCOS) establish the criteria for recognition and structure of national territorial waters, setting limits on the extent of those waters and economic zones. There are dozens of such treaties, conventions and instruments dealing with every conceivable aspect of human management of the world’s oceans. Disputes often arise about the interpretation of treaty language and there is a forum to resolve those disputes. “Peaceful settlement of international disputes occupies an important place in international law in general and the law of the sea is no exception” (Tanaka 2012). The same can be said for the treaties and conventions that deal with international airspace, specifically the Convention on International Civil Aviation (also known as the Chicago Convention of 1944), which created the International Civil Aviation Organization (ICAO). The similarity between the legal regimes of international and domestic airspace and the high seas (and coastal waters) bears examination, for many aviation regulations are derived from ancient maritime common law.

The Law of the Sea and the Law of the Air

Perhaps the greatest challenge to lawmakers and regulators charged with maintaining an acceptable level of safety in their respective national airspace systems is how to integrate unmanned aircraft into existing aeronautical environments where manned aircraft have been navigating with ever increasing levels of safety for decades. The law of the sea evolved over centuries of commercial shipping activities, and is one of the oldest branches of public international law (Tanaka 2012). The law of the airways has a relatively shorter life, but it has progressed and expanded at a far greater pace than the law of the sea. What makes the laws of the sea and the air similar enough to warrant comparison, and perhaps guidance for aviation professionals and regulators, is that both bodies of law, policy, and regulation deal with access to and the safety of a vast common community resource, to wit: the oceans and the airspace above the Earth and the high seas. While it seems unlikely that two vessels navigating the vastness of the world’s oceans could ever collide, they do, far more often than may commonly be known. The European Maritime Safety Agency Annual Overview of Marine Casualties and Incidents 2018 reported an average of 3315 occurrences per year for the four years ending in 2017. In 2017 more than 1500 cargo ships were involved in accidents that resulted in 25 fatalities. Casualties numbered 1018 persons, half related to issues of a navigational nature, such as contacts, grounding/stranding, and collisions. The same observation could be made about the skies. The skies are immense, seemingly limitless, yet airplanes collide, often with catastrophic results. Thus, in both realms, the sea and the sky, regulations and “rules of the road” are necessary to minimize the risk of such events. The aviation rules for airplanes occupying the same airspace in close proximity to one another generally follow the rules at sea (for example, “… when aircraft of the same category are converging at approximately the same altitude [except head-on, or nearly so], the aircraft to the other’s right has the right-of-way”; similarly, “… when two power-driven vessels are meeting on reciprocal or nearly reciprocal courses so as to involve risk of collision each shall alter her course to starboard so that each shall pass on the port side of the other”).

A Brief History of Aviation Regulations

Although the first powered flight with a pilot on board is attributed to the Wright Brothers (specifically with Orville, the daring one, at the controls) at 10:35 a.m. on 17 December 1903 near Kitty Hawk, North Carolina, the first aviation regulations did not appear for another eight years when Great Britain passed the Aerial Navigation Act of 1911. The British followed that law with a second Aerial Navigation Act of 1913, which transferred the control of aviation activities to the Secretary of State for War. In 1916 the British Air Board was created, which greatly influenced the post-World War I control of civil aviation in Great Britain (Chaplin 2011).

Although the United States did not initiate the first efforts to create aviation safety regulations, the US system of regulations, whether aviation related or not, bears closer examination because the US is historically viewed as a leader in the evolution of aviation regulations world-wide. Regulations, and the supporting standards and guidance materials that help people and organizations comply with them, have been a core component of the legal system in the United States for nearly 150 years. Every federal regulatory agency promulgates rules that are intended to carry out the agency’s legislative mandates. State and local regulatory agencies or commissions act in much the same way.

Lawmakers in most countries generally do not have the luxury of time, expertise, or the resources to define and monitor every element of the particular industry or activity that they undertake to regulate through the enactment of laws that are national in scope. The agencies that the US Congress creates and funds, for example, are delegated the legislative powers that Congress has been granted by Article, Section 1 of the US Constitution. Those delegated powers are implemented through the rule-making process. The oldest federal regulatory agency that still exists in the US is the Office of the Comptroller of the Currency, which was created in 1863 to charter and regulate the nation’s banks. The modern era of federal regulation really began with the creation of the Interstate Commerce Commission (ICC) in 1887, which was directed to protect the public from excessive and discriminatory railroad rates. The regulation was economic in nature, by the setting of rates and by regulating how railroad services were to be provided. The ICC’s administrative model was that of an independent, bipartisan commission that used an adjudicatory approach to arrive at decisions on contested matters. This structure was adopted by several subsequently created agencies, such as the Federal Trade Commission (FTC), the Water Power Commission (later the Federal Power Commission), and the Federal Radio Commission (which became the Federal Communications Commission). Congress created several other agencies early in the 20th century to regulate commercial and financial systems – including the Federal Reserve Board, the Tariff Commission, the Packers and Stockyards Administration, and the Commodities Exchange Authority, all established before 1922. The Food and Drug Administration was created in 1931 to ensure that certain foods and drugs were fit for human consumption.

Many other federal regulatory agencies were created in the 1930s as part of President Franklyn D. Roosevelt’s “New Deal” programs. These included the Federal Home Loan Bank Board (1932), the Federal Deposit Insurance Corporation (FDIC) (1933), the Commodity Credit Corporation (1933), the Farm Credit Administration (1933), the Securities and Exchange Commission (SEC) (1934), and the National Labor Relations Board (1935). The jurisdictions of both the Federal Communications Commission (FCC) and the Interstate Commerce Commission were also expanded to regulate other methods of communications (e.g. telephone and telegraph) as well as other transportation modes (trucking, pipelines, and common carriers such as bus lines and telephones). The ICC was dissolved in 1995, and its remaining powers were reassigned to the Surface Transportation Board.

The United States’ first attempt to regulate commercial aviation arose out of the US Post Office’s commencement of airmail operations in 1918. The first published aviation regulations were released in 1926 by the Aeronautics Branch of the Department of Commerce, and were known as “Air Commerce Regulations.” They consisted of six chapters spanning 45 pages of text, and covered the areas of Licensing, Marking, and Operation of Aircraft, Licensing of Pilots and Mechanics, Air Traffic Rules, and were rounded out by a miscellaneous section. Aviation is indeed one of the oldest regulated industries or activities in the US. Presently the Federal Aviation Regulations (FARs) fill four volumes of the Code of Federal Regulations, consisting of over 460 sections filling more than 3600 pages, and totaling around 8400 regulations, counting major subparts and sections.

International Civil Aviation Regulations

Outside of the US, aviation regulations vary from country to country, as can be expected. Some countries have aviation rules and regulations similar to the US, but few, if any, are as comprehensive and voluminous. In Europe, for example, each individual country (Member State) has its own set of regulations, developed and enforced by their domestic civil aviation authorities (CAAs). An additional layer of safety rules falls under the regulatory and administrative jurisdiction of the European Aviation Safety Agency (EASA), an agency of the European Union (EU), established in 2002 and consisting of 31 Member States (27 European Union states plus Switzerland, Norway, Iceland, and Liechtenstein observer states). EASA’s role is to provide advice to the European Union for drafting new legislation, implementing and monitoring safety rules, including inspections in the Member States, type certification of aircraft and components, as well as the approval of organizations involved in the design, manufacture, and maintenance of aeronautical products, authorization of third-country (non-EU) operators, safety analysis, and research.

The European Organization for the Safety of Air Navigation, known as “EUROCONTROL,” is the entity that provides harmonized air navigation services across European skies, and is separate from EASA. In 2011 the European Union established another organization, the European Network of Civil Aviation Safety Investigation Authorities (ENCASIA), via Regulation No. 996/2010, whose “… mission is to further improve the quality of air safety investigations and to strengthen the independence of the national investigating authorities.” This organization makes safety recommendations to EASA, but does not create regulations. Thus, each member state has the option to create and maintain its own aviation safety organization with attendant powers to investigate accidents and impose sanctions on violators of their domestic regulations.

The 1944 Chicago Convention on International Civil Aviation (which created the International Civil Aviation Organization, ICAO) generally and comprehensively sets forth international standards and recommended practices for aviation (as provided in Article 37). Consistent with Article 26 of the Convention, Annex 13 deals with aircraft accident and incident investigation. The Annex states that investigation of serious accidents and incidents is to be conducted by the State where the accident or incident occurs, or where the State of Registry when the location of the accident or serious incident cannot definitely be established as being in the territory of any State. In addition, a State may delegate the task of conducting the investigation to another State or request its assistance. By virtue of this Annex, EASA should be invited to participate in a safety investigation “… in order to contribute, within the scope of its competence, to its efficiency and to ensure the safety of aircraft design, without affecting the independent status of the investigation. National civil aviation authorities should be similarly invited to participate in safety investigations.”