APPLICATIONS, RULES AND REGULATIONS FOR

UAV
UNMANNED AIRCRAFT SYSTEMS: UNITED STATES & CANADIAN REGULATORY
APPROACHES

DEFINITION: Unmanned Aircraft System (UAS)

A UAS consists of the unmanned aircraft (UA) and its associated support equipment, control station, data
links, telemetry, communications and navigation and related equipment necessary to operate the UA.
The UA is the flying portion of the system, flown by a pilot via a ground control system, or autonomously
through use of an on-board computer, communication links and any additional equipment necessary for
safe operations.
The United States FAA issues an experimental airworthiness certificate for the entire UAS, not just the
flight portion of the system.

DEFINITION: Unmanned Air Vehicle (UAV)

A power driven aircraft, other than a model aircraft, that is operated without a flight crew member on
board. – Canadian aviation regulations.
“Unmanned Aircraft: A device used or intended to be used for flight in the air that has no onboard pilot.
This includes all classes of airplanes, helicopters, airships, and translational lift aircraft that have no
onboard pilot. Unmanned aircraft are understood to include only those aircraft controllable in three axes
and therefore, exclude traditional balloons.” - FAA:

Before looking into UAS in more detail, it is appropriate to list some of the uses to which they are, or may be, put.
They are very many, the most obvious being the following:
Civilian uses
Aerial photography - Film, video, still, etc.
Agriculture Crop monitoring and spraying; herd monitoring and driving
Coastguard Search and rescue, coastline and sea-lane monitoring
Conservation Pollution and land monitoring
Customs and Excise Surveillance for illegal imports
Electricity companies Power line inspection
Fire Services and Forestry Fire detection, incident control
Fisheries protection
Gas and oil supply companies Land survey and pipeline security
Information services News information and pictures, feature pictures, e.g. wildlife
Lifeboat Institutions Incident investigation, guidance and control
Local Authorities Survey, disaster control
Meteorological services Sampling and analysis of atmosphere for forecasting, etc.
Traffic agencies monitoring and control of road traffic
Oil companies Pipeline security
Ordnance Survey Aerial photography for mapping
Police Authorities Search for missing persons, security and incident surveillance
Rivers Authorities Water course and level monitoring, flood and pollution control
Survey organizations Geographical, geological and archaeological survey
Water Boards Reservoir and pipeline monitoring

Military roles
Navy
Shadowing enemy fleets
Decoying missiles by the emission of artificial signatures
Electronic intelligence
Relaying radio signals
Protection of ports from offshore attack
Placement and monitoring of sonar buoys and possibly other forms of anti-submarine
warfare
Army
Reconnaissance
Surveillance of enemy activity
Monitoring of nuclear, biological or chemical (NBC) contamination
Electronic intelligence
Target designation and monitoring
Location and destruction of land mines
Air Force
Long-range, high-altitude surveillance
Radar system jamming and destruction
Electronic intelligence
Airfield base security
Airfield damage assessment
Elimination of unexploded bombs
Uses of UAVs
[1]. atmospheric research (including weather and atmospheric gas sampling),
[2]. scientific research,
[3]. oceanographic research,
[4]. geophysical research,
[5]. mineral exploration,
[6]. imaging spectrometry,
[7]. telecommunications relay platforms,
[8]. police surveillance,
[9]. border patrol and reconnaissance,
[10]. survey and inspection of remote power lines and pipelines,
[11]. traffic and accident surveillance,
[12]. emergency and disaster monitoring,
[13]. cartography and mapping,
[14]. search, rescue and recovery,
[15]. agricultural spraying,
[16]. aerial photography,
[17]. promotion and advertising,
[18]. weather and pollution reconnaissance,
[19]. flight research, and
[20]. Fire fighting monitoring and management.

Innovative UAS Applications in US

Remote sensing: electromagnetic spectrum sensors, gamma ray sensors, biological sensors, and
chemical sensors
Commercial aerial surveillance: livestock monitoring, wildfire mapping, pipeline security,
home security, road patrol, and anti-piracy.
Commercial and motion picture filmmaking
Sports photography and cinematography
Domestic policing
Disaster relief: transport of medicines and vaccines and retrieve medical samples, into and out
of remote or otherwise inaccessible regions.
Scientific research: penetrating areas that may be too dangerous for manned aircraft.
Search and rescue
Maritime patrol
Forest fire detection
Military applications
What Permissions are Needed to Legally Fly?
• Federal Aviation Administration (FAA) - must register vehicle with FAA and have authorization
to fly
• Section 333 – any aircraft operation in national airspace requires a certificated and registered
aircraft, a licensed pilot, and operational approval
• Certificate of Waiver or Authorization (COA) - authorization by Air Traffic Organization for
specific UA activity
• Part 107 (Proposed Law) - simplifies current laws, will be announced by end of JUNE 2016
What Items Do You Need To Legally Fly?
• Recreational
• License number registered with FAA displayed on aircrafts
• Registration fee $5 per person
• Commercial
• Section 333 Exception or Aircraft Certification
• Certificate of Authorization (COA)
• Aircraft Registrations and Markings
• Pilot Certificate
• Registration $5 per aircraft
• As a public Agency
• Certificate of Authorization (COA)
• Aircraft Registration and Markings
• Registration $5 per aircraft
Recreational/Class Curriculum
Recreational
• Cannot receive money or compensation
• Cannot be used in furtherance with a business or official duty
• Must be operated within a community-based set of safety guidelines and within the programming
of a nationwide community-based organization
Education
• Students may build and fly a UAS as a component of a course curriculum or senior project
• UAS flights by students must be in accordance with Campus oversight.
• UAS flights in pursuit of research projects or university business are not considered recreational

Safety is the Principal Concern

In the US, approximately 50 companies, universities, and governmental institutions are developing more
than155 unmanned aircraft designs. The National Airspace System (NAS) has more than 100,000 aviation
operations per day, including air carrier, air taxi, general aviation, and military aircraft. Approximately
18,000 air carrier aircraft and 230,000 active general aviation aircraft traverse U.S. skies. Because of the
inherent differences from manned aircraft, such as the pilot removed from the aircraft and the need for
“sense and avoid,” introduction of UAS into the NAS poses unique challenges. Moreover, UAS must be
integrated into an evolving NAS, from one with ground-based navigational aids to a GPS-based system in
NextGen. Decisions being made about UAS airworthiness and operational requirements must fully
address safety implications of UAS flying in the same airspace as manned aircraft, and perhaps more
importantly, aircraft with passengers.
The US FAA has three categories of UAS:
1. Model Aircraft (largely unregulated)
2. Experimental Certificates (for civil aircraft)
3. Certificates of Authorization (for public aircraft)

MODEL AIRCRAFT
MODEL AIRCRAFT
Canadian Regulations define a model aircraft as an aircraft, the total weight of which does not exceed 35
kg (77.2 pounds), that is mechanically driven or launched into flight for recreational purposes and that is
not designed to carry persons or other living creatures.

In the US, regulatory approval is not required to fly a model aircraft for recreation.
The regulations do not address size of the model aircraft. FAA guidance provides that model aircraft
flights:
Should be kept below 400 feet above ground level (AGL),
Should be flown a sufficient distance from populated areas, airports and full size aircraft,
Should not be flown for business purposes,
Should avoid noise sensitive areas such as parks, schools, hospitals, and churches,
Should not fly in the vicinity of spectators until they are confident that the model aircraft has been flight
tested and proven airworthy, and should be flown within visual line-of-sight.

US: FAA Approval Required to Fly UAV for Business Purposes

No person may operate a UAS in the National Airspace System without specific authority. There are two
methods of gaining FAA approval for flying UAS:
1. Special Airworthiness Certificates - Experimental Category (SAC-EC) for civil aircraft, and
2. Certificates of Waiver or Authorization (COA) for public aircraft.
 A public aircraft is one that is owned and operated by a governmental institution.
 A civil aircraft is other than a public aircraft.

Unmanned Aircraft Systems Operating as Civil Aircraft

Civil applicants seeking to operate a UAS for civil use must obtain FAA airworthiness certificate the
same as any other type aircraft. However, the FAA currently only issues special airworthiness certificates
in the experimental category (SAC-EC).
The applicant must prove that the aircraft and its systems, including the control station(s) is designed,
built, and maintained in a safe and airworthy condition.
The applicant must state the intended use for the UAS, as well as the time or number of flights along with
a description of the areas over which the aircraft will operate. The application must also include drawings
or photographs of the aircraft. An on-site review of the UAS and demonstration of the area of operation
may be required.
Experimental certificates are typically issued for a period of up to one year. Operational limitations are
normally imposed on the certificates.

Commercial Operations Currently Prohibited in the US

One may not fly a UAS under a COA or experimental certificate for commercial purposes.
However, manufacturers may apply for an experimental certificate for the purposes of R&D, market
survey or crew training. Between 2005-2011, the FAA issued 94 SAC-ECs to 13 civil operators covering
20 unique UAS and OPA types.
Public UA operators may self-certify their equipment and personnel, but civil operators must be certified
by the FAA.

Unmanned Aircraft Systems Operating as Public Aircraft

The operator must establish:
  UAS airworthiness either from FAA certification, a DOD airworthiness statement, or by other
approved means that a collision with another aircraft or other airspace user is extremely
improbable, and Compliance with appropriate cloud and terrain clearances.

Certificates of Waiver or Authorization (COA) for public aircraft

[1]. The COA process is available to public entities seeking to fly a UAS in civil airspace.
[2]. The COA authorizes an operator to use defined airspace and includes special provisions unique to
the proposed operation. For example, a COA may include a requirement to operate only under
Visual Flight Rules (VFR) and/or only during daylight hours. Most COAs are issued for a
specified time period (up to one year, in most cases).
[3]. Most COAs require coordination with an appropriate air traffic control facility and may require
the UAS to have a transponder to operate in certain types of airspace.
[4]. Due to the inability of UAS to comply with “see and avoid” rules as manned aircraft operations
do, a visual observer or an accompanying “chase” aircraft must maintain visual contact with the
UAS and serve as its “eyes” when operating outside of airspace that is restricted from other users.
[5]. The FAA issued 146 COAs in 2009 and 298 in 2010, more than doubling in one year.
[6]. As of June 28, 2011, there were 251 active COAs, 90 different proponents, and 77 different
aircraft types.

Role of the Pilot-in-Command (PIC) and Observer

The PIC the person in control of, and responsible for, the UAS.
The observer must observe the activity of the unmanned aircraft and surrounding airspace, either through
line-of-sight on the ground or in the air by means of a chase aircraft. Ordinarily, the pilot or observer must
be within 1 mile laterally and 3,000 feet vertically of the unmanned aircraft. Direct communication
between the PIC and the observer must be maintained at all times.
Above 18,000 feet, unmanned aerial flight must be conducted under Instrument Flight Rules, on an IFR
flight plan, must obtain ATC clearance, be equipped with at least a Mode C transponder preferably Mode
S), operating navigation lights and/or collision avoidance lights and maintain communication between the
PIC and Air Traffic Control (ATC).
Below18, 000 feet, such flight has similar requirements, except that if operators choose to operate on
other than an IFR flight plan, they may be required to pre-coordinate with ATC.

CANADIAN REQUIREMENTS FOR UAV FLIGHTS:

CANADIAN REQUIREMENTS FOR UAV FLIGHTS:
(a) The name, address, and where applicable, the telephone number and facsimile number of the
applicant;
(b) The name, address, and where applicable the telephone number and facsimile number of the person
designated by the applicant to have operational control over the operation (Operation Manager);
(c) Method by which the Operation Manager may be contacted directly during operation;
(d) The type and purpose of the operation;
(e) The dates, alternate dates and times of the proposed operation;
(f) A complete description, including all pertinent flight data on the aircraft to be flown;
(g) the security plan for the area(s) of operation and security plan for the area(s) to be over flown to
ensure no hazard is created to persons or property on the surface;
(h) The emergency contingency plan to deal with any disaster resulting from the operation;
(i) the name, address, telephone and facsimile numbers of the person designated to be responsible for
supervision of the operation area (Ground Supervisor), if different from the Operation Manager during the
operation;
(j) a detailed plan describing how the operation shall be carried out. The plan shall include a clear, legible
presentation of the area to be used during the operation. The presentation may be in the form of a scale
diagram, aerial photograph or large scale topographical chart and must include at least the following
information:
the altitudes and routes to be used on the approach and departure to and from the area where the operation
will be carried out;
The location and height above ground of all obstacles in the approach and departure path to the areas
where the operation will be carried out;
The exact boundaries of the area where the actual operation will be carried out;
The altitudes and routes to be used while carrying out the operation;

Canadian Special Flight Operations Certificates (SFOCs)

SFOCs are required if the UAV is to be operated beyond visual range. An SFOC is issued once the
applicant demonstrates the ability to conduct a safe operation. The operator must evaluate the risks
associated with the proposed operation and provide satisfactory risk mitigation measures.

Canada: Detect, sense-and-avoid (DSA) capability

The objective of the DSA system is to perform those collision avoidance functions normally provided by
a pilot in a manned aircraft. The DSA system detects traffic in time to process the sensor information,
determine if a conflict exists, and execute a maneuver according to the right-of-way rules. If pilot
interaction is required, transmission and decision time must be included in the total time between initial
detection and the point of minimum separation. The DSA system must have the capability to detect both
participating and non-participating aircraft.

FAA Modernization and Reform Act of 2012 Section 336

Model Aircraft Operations Limits
(1) the aircraft is flown strictly for hobby or recreational use;
(2) the aircraft is operated in accordance with a community-based set of safety guidelines and within
the programming of a nationwide community-based organization;
(3) the aircraft is limited to not more than 55 pounds unless otherwise certified through a design,
construction, inspection, flight test, and operational safety program administered by a
community-based organization;
(4) the aircraft is operated in a manner that does not interfere with and gives way to any manned
aircraft;
(5) when flown within 5 miles of an airport, the operator of the aircraft provides the airport operator
and the airport air traffic control tower…with prior notice of the operation; and
(6) The aircraft is flown within visual line sight of the operator.

FAA Modernization and Reform Act of 2012 Section 333

Must apply for a Section 333 exemption
Approximately a 4 month process
Must be a FAA licensed pilot
Must have a current medical
(Very restrictive in their use)
Small UAS Notice of Proposed Rule Making – Part 107
The FAA proposal offers safety rules for small UAS (under 55 pounds) conducting non-recreational
operations. The proposed regulation was published on the Federal Register for public comment on
February 23, 2015.
Major Provisions of Proposed FAR Part 107
Operational Limitations
 Operator Certification and Responsibilities
 Aircraft Requirements
Operational Limitations n detail
[1]. Unmanned aircraft must weigh less than 55 lbs.
[2]. Small unmanned aircraft may not operate over any persons not directly involved in the operation.
[3]. Daylight-only operations (official sunrise to official sunset, local time).
[4]. Must yield right-of-way to other aircraft, manned or unmanned.
[5]. Visual line-of-sight (VLOS) only; unaided by any device other than corrective lenses.
[6]. First-person view (FPV) camera cannot satisfy “see-and-avoid” requirement but can be used as long as
requirement is satisfied in other ways.
[7]. May use visual observer (VO) but not required.
[8]. Maximum airspeed of 100 mph (87 knots).
[9]. Maximum altitude of 500 feet above ground level.
[10]. Minimum weather visibility of 3 miles from control station.
[11]. Requires preflight inspection by the operator.
[12]. No person may act as an operator or VO for more than one unmanned aircraft operation at one time.
[13]. No careless or reckless operations.
 [14]. A person may not operate a small unmanned aircraft if he or she knows or has reason to know of any
physical or mental condition that would interfere with the safe operation of a small UAS.
[15]. No operations are allowed in Class A airspace.
[16]. Operations in Class B, C, D and E airspace are allowed with the required ATC permission.
[17]. Operations in Class G airspace are allowed without ATC permission

Operator Certification and Responsibilities

Pilots of a small UAS would be considered “operators”.
Operators would be required to:
[1]. Be at least 17 years old.
[2]. Pass an initial aeronautical knowledge test.
[3]. Be vetted by the Transportation Security Administration.
[4]. Obtain an unmanned aircraft operator certificate with a small UAS rating (like existing pilot
airman certificates, never expires).
[5]. Pass a recurrent aeronautical knowledge test every 24 months. Make available to the FAA, upon
request, the small UAS for inspection or testing, and any associated documents/records required
to be kept under the proposed rule.
[6]. Report an accident to the FAA within 10 days of any operation that results in injury or property
damage.
[7]. Conduct a preflight inspection, to include specific aircraft and control station systems checks, to
ensure the small UAS is safe for operation.
Aircraft Requirements
FAA airworthiness certification not required. However, operator must maintain a small UAS in condition
for safe operation and prior to flight must inspect the UAS to ensure that it is in a condition for safe
operation.
Aircraft Registration required (same requirements that apply to all other aircraft).
Aircraft markings required (same requirements that apply to all other aircraft).
If aircraft is too small to display markings in standard size, then the aircraft simply needs to display
markings in the largest practicable manner.

Who is Operating UAS in the NAS?

• Public Use Aircraft – Certificate of Waiver or Authorization (COA)
– Department of Agriculture
– Department of Commerce
– Department of Defense
– Department of Energy
– Department of Homeland Security
– Department of Interior
– Department of Justice
– NASA
– State Universities
– Federal/State/Local Law Enforcement
• Civil Aircraft – Special Airworthiness Certificates in the Experimental Category
and Special Flight Permits issued coast to coast
– Raytheon
– AAI Corporation
– General Atomics
– Boeing
– Others

BASED ON UAV WEIGHT AND MARKET PURCHASE

A ‘small UAV’4 is defined within this publication as any UAV weighing less than 25 kg. This
weight boundary generally agrees with many civil aviation authority regulations, particularly the
US Federal Aviation Administration (FAA), which defines ‘model aircraft’ as those unmanned
aircraft flown for hobby or recreational use that weigh no more than 55 pounds (25 kg) (FAA,
2015). The United Kingdom’s Civil Aviation Authority (CAA) also uses weight categories to
classify UAVs, with those in excess of 20 kg requiring registration or other special conditions
(CAA, n.d.). For many countries the weight of unmanned aerial vehicles is an important
threshold for categorizing UAVs, and the introduction and implementation of UAV policy and
regulation. “Commercial off-the-shelf5” (COTS) is a phrase often used by government
departments or agencies, generally referring to products, supplies, and services that are available
in the commercial marketplace. In the context of this publication, the term ‘COTS’ is applied to
those UAV systems and components that are commercially available and can be purchased by
members of the general public, in order to distinguish them from purpose-built or homemade
items, or items restricted to use by certain qualified parties. In the common vernacular, this is
sometimes considered to be synonymous with the term ‘consumer-grade’; however, the price
point and target market of some COTS items places them outside the realm of what would
typically be considered as such. This section seeks to broadly assess the wide range of shapes,
sizes, and types of COTS small UAVs which are produced for the commercial market. The
majority of these can be categorized as either fixed wing or rotary wing aircraft. UAVs are
further described using characteristics such as range, endurance, altitude, speed, and payload
capacities (Table 1 gives a comparison of some common COTS small UAVs).
Table 1