UAS.SPEC.010  General provisions

Regulation (EU) 2020/639

The UAS operator shall provide the competent authority with an operational risk assessment for the intended operation in accordance with Article 11, or submit a declaration when point UAS.SPEC.020 is applicable, unless the operator holds a light UAS operator certificate (LUC) with the appropriate privileges, in accordance with Part C of this Annex. The UAS operator shall regularly evaluate the adequacy of the mitigation measures taken and update them where necessary.

UAS.SPEC.020 Operational declaration

Regulation (EU) 2020/639

(1) In accordance with Article 5, the UAS operator may submit an operational declaration of compliance with a standard scenario as defined in Appendix 1 to this Annex to the competent authority of the Member State of registration as an alternative to points UAS.SPEC.030 and UAS.SPEC.040 in relation to operations:

(a) of unmanned aircraft with:

(i) maximum characteristic dimension up to 3 metres in VLOS over controlled ground area except over assemblies of people,

(ii) maximum characteristic dimension up to 1 metre in VLOS except over assemblies of people;

(iii) maximum characteristic dimension up to 1 metre in BVLOS over sparsely populated areas;

(iv) maximum characteristic dimension up to 3 metres in BVLOS over controlled ground area.

(b) performed below 120 metres from the closest point of the surface of the earth, and:

(i) in uncontrolled airspace (class F or G) unless different limitations are provided by Member States through UAS geographical zones in areas where the probability of encountering manned aircraft is not low; or

(ii) in controlled airspace, in accordance with published procedures for the area of operation, so that a low probability of encountering manned aircraft is ensured.

(2) A declaration of UAS operators shall contain:

(a) administrative information about the UAS operator;

(b) a statement that the operation satisfies the operational requirement set out in point (1) and a standard scenario as defined in Appendix 1 to the Annex;

(c) the commitment of the UAS operator to comply with the relevant mitigation measures required for the safety of the operation, including the associated instructions for the operation, for the design of the unmanned aircraft and the competency of involved personnel.

(d) confirmation by the UAS operator that an appropriate insurance cover will be in place for every flight made under the declaration, if required by Union or national law.

(3) Upon receipt of the declaration, the competent authority shall verify that the declaration contains all the elements listed in point (2) and shall provide the UAS operator with a confirmation of receipt and completeness without undue delay.

(4) After receiving the confirmation of receipt and completeness, the UAS operator is entitled to start the operation.

(5) UAS operators shall notify, without any delay, the competent authority of any change to the information contained in the operational declaration that they submitted.

(6) UAS operators holding an LUC with appropriate privileges, in accordance with Part C of this Annex, are not required to submit the declaration.

UAS.SPEC.030 Application for an operational authorisation

Regulation (EU) 2020/639

(1) Before starting an UAS operation in the ‘specific’ category the UAS operator shall obtain an operational authorisation from the national competent authority of the Member State of registration, except:

(a) when point UAS.SPEC.020 is applicable; or

(b) the UAS operator holds an LUC with the appropriate privileges, in accordance with Part C of this Annex.

(2) The UAS operator shall submit an application for an updated operational authorisation if there are any significant changes to the operation or to the mitigation measures listed in the operational authorisation.

(3) The application for an operational authorisation shall be based on the risk assessment referred to in Article 11 and shall include in addition the following information:

(a) the registration number of the UAS operator;

(b) the name of the accountable manager or the name of the UAS operator in the case of a natural person;

(c) the operational risk assessment;

(d) the list of mitigation measures proposed by the UAS operator, with sufficient information for the competent authority to assess the adequacy of the mitigation means to address the risks;

(e) an operations manual when required by the risk and complexity of the operation;

(f) a confirmation that an appropriate insurance cover will be in place at the start of the UAS operations, if required by Union or national law.

APPLICATION FORM FOR THE OPERATIONAL AUTHORISATION

The UAS operator should submit an application according to the following form. The application and all the documentation referred to or attached should be stored for two years in a manner that ensures their protection from unauthorised access, damage, alteration, and theft. The declaration may be complemented by the description of the procedures to ensure that all operations are in compliance with Regulation (EU) 2016/679 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, as required by point UAS.SPEC.050 (1)(a)(iv).

 

 

Application for operational authorisation

Data protection: Personal data included in this application is processed by the competent authority pursuant to Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation). It will be processed for the purposes of the performance, management and follow-up of the application by the competent authority in accordance with Article 12 of Regulation (EU) 2019/947.

If you require further information concerning the processing of your personal data or exercising your rights (e.g. to access or rectify any inaccurate or incomplete data), please refer to the contact point of the competent authority.

The applicant has the right to make a complaint regarding the processing of the personal data at any time to the national Data Protection Supervisor Authority.

UAS operator data

1.1 UAS operator registration number

 

1.2 UAS operator name

 

UAS data

2.1 Manufacturer

 

2.2 Model

 

2.3 Type certificate (if required)

 

2.4 Serial number or UA registration mark (if applicable)

 

2.5 Certificate of airworthiness (CofA) (if required)

 

2.6 Noise certificate (if required)

 

2.7 Configuration

Aeroplane   
Helicopter   
Multirotor   
Hybrid/VTOL   
Lighter than air/other

2.8 MTOM

 

2.9 Maximum airspeed

 

2.10 Maximum characteristic dimensions

 

Operation

3.1 ConOps

 

3.2 Operation manual available

 
yes   
no

3.3 Predefined risk assessment (PDRA) (if applicable)

 

3.4 If the operation complies with a PDRA published by EASA, provide all the information and documentation identified in it.

3.5 If the operation does not comply with a PDRA published by EASA, provide the operational risk assessment in accordance with Article 11 of Regulation (EU) 2019/947

3.6 Mitigations and operational safety objectives (OSOs)

 

3.7 Insurance cover will be in place at the start of the UAS operations

 
yes 
no

I, the undersigned, hereby declare that the UAS operation will comply with:

             any applicable Union and national rules related to privacy, data protection, liability, insurance, security and environmental protection;

             the applicable requirement of Regulation (EU) 2019/947; and

             the limitations and conditions defined in the authorisation provided by the competent authority.

Date

Signature

Instructions for filling in the form

1.1 The UAS operator registration number in accordance with Article 14 of the UAS Regulation.

1.2 Name of the accountable manager or the name of the UAS operator in the case of a natural person.

2.1 Name of the manufacturer of the UAS.

2.2 Model of the UAS as defined by the manufacturer.

2.3 Include the EASA TC number, if available.

2.4 Serial number of the UA defined by the manufacturer, or the UA registration mark if the competent authority requires the use of a UAS with an EASA TC.

2.5 If a UAS with an EASA TC is required, the UAS should have a certificate of airworthiness (CofA).

2.6 If a UAS with an EASA TC is required, the UAS should have a noise certificate.

2.7 Configuration of the UA.

2.8 Maximum take-off mass for which the UA is designed, expressed in kg.

2.9 Maximum cruise air speed expressed in m/s and knots in parenthesis.

2.10 State the maximum dimensions of the UA in metres (e.g. for aeroplanes: the length of the wingspan; for helicopters: the diameter of the propellers; for multirotors: the maximum distance between the tips of 2 opposite propellers).

NOTE: Section 2 may include more than one UAS. In that case, it should be filled with the data of all the UAS intended to be operated.

3.1 The description of the intended operation characterising the area where it will take place (i.e. urban, sparsely populated, industrial, etc.) and the airspace.

3.3 The number of the PDRA, if applicable.

3.6 A list of the mitigation measures and the OSOs put in place, as required by the PDRA or proposed by the UAS operator if no PDRA is available. Sufficient information should be provided to the competent authority to assess the robustness of the measures.

3.8 A short description of the procedures established by the UAS operator to ensure that all operations are in compliance with Regulation (EU) 2016/679 on the protection on personal data as required by point UAS.SPEC.050(1)(a)iv.

Note: The signature and stamp may be provided in electronic form.

SIGNIFICANT CHANGES TO THE OPERATIONAL AUTHORISATION

(a) Any non-editorial change that affects the operational authorisation, or affects any associated documentation that is submitted to demonstrate compliance with the requirements established for the authorisation, should be considered to be a significant change.

(b) With regard to the information and documentation associated with the authorisation, changes should be considered to be significant when they involve, for example:

(1) changes in the operations that affect the assumptions of the risk assessment;

(2) changes that relate to the management system of the UAS operator (including changes of key personnel), its ownership or its principal place of business;

(3) non-editorial changes that affect the operational risk assessment report;

(4) non-editorial changes that affect the policies and procedures of the UAS operator; and

(5) non-editorial changes that affect the OM (when required).

GM1 UAS.SPEC.030(2)  Application for an operational authorisation

ED Decision 2019/021/R

APPLICATION FORM FOR THE OPERATIONAL AUTHORISATION

Depending on the level of the risk of the operation, the technical characteristics of the UAS may play an important role in mitigating the risk. In that case, the UAS operator may provide additional information to the NAA on the characteristics of the UAS to be operated. The NAA will, in any case, ask for additional data when needed.

As an example regarding how to structure the additional information, the UAS operator may supplement the application for the authorisation with the additional elements shown below. Elements from the example may be added or removed as required.

LANDING GEAR

   
yes 
no

Type

Fixed 
  Retractable 
  Other

Characteristics

Wheels   
Skids  
Legs 
Other

CONSPICUITY CHARACTERISTICS (2)

Paint (1):

Lights (2)

 
yes    
no

Intensity: 

Aircraft visibility lights:

Control lights (flight mode or alert indicators, etc.):

 

PROPULSION (3)

 
Electrical
Combustion 
Hybrid
Other

Description:

 

Note: Provide a brief description (for example, push/pull systems, coaxial systems in the case of multirotors, combined systems, etc.).

SYSTEMS

 
Propellers    
Turbines
Other 

 Description:

Control and/or positioning system (4)

FLIGHT CONTROLLER (5)

Manufacturer:  Model:

Description:

FLIGHT TERMINATION SYSTEM (6)

Description:

FLIGHT MODES (7)

Description:

GROUND CONTROL STATION (8)

Radio emitter:

Manufacturer:  Model:

Mobile/computer application:

Manufacturer: Model:

Other:

Manufacturer:Model:

CONTROL COMMUNICATION LINK

Description (frequency):

TELEMETRY COMMUNICATION LINK

 
yes 
no

Description (frequency):

VIDEO SYSTEM COMMUNICATION LINK (FPV)

 
yes 
no

Description (frequency):

PAYLOAD COMMUNICATION LINK

 
yes 
no

Description (frequency):

PAYLOAD (9)

 
yes 
no

TYPE

 
Fixed 
  Interchangeable

Description:

 

OPERATION LIMITS (10)

Maximum operating height:

 

Max airspeed:

 

Weather conditions:

 

SAFETY SYSTEMS/SAFETY NETS AND AWARENESS (11)

DETECT AND AVOID  
yes 
no  

Description:    

GEO-FENCING OR GEO-CAGING
yes 
no

Description:

TRANSPONDER 
yes 
no

Description:    

SYSTEMS FOR LIMITING IMPACT ENERGY
yes 
no 

Description:   

OTHER

Description:    

(1) PAINT

Describe any painted elements that are visible (marks) and significant (colour, shape, etc.).

(2) LIGHTS

Describe the lights, including their colours and locations.

(3) PROPULSION

Mark the type of propulsion used, indicating (in the space provided) the manufacturer and model, and detailing relevant information such as the number of motors/engines, the configuration, etc. Powerplant design diagrams may be attached if necessary.

(4) CONTROL AND/OR POSITIONING SYSTEM

As a general instruction for this section, in addition to the description and information deemed necessary to define these systems, provide any certification and rating for the systems, such as those related to electromagnetic compatibility or any other European Directive satisfied by the equipment installed on the aircraft, for consideration during the specific risk assessment conducted using the specific operations risk assessment (SORA) or any other SMS methodology to evaluate and authorise operations.

(5) FLIGHT CONTROLLER

Indicate the manufacturer and model of the flight controller. Describe the relevant aspects affecting flight safety.

(6) FLIGHT TERMINATION SYSTEM

Describe and include the technical characteristics of the system, its modes of operation, system activation and any certification and rating for the components, as well as proof of its electromagnetic compatibility for consideration during the SORA or any other SMS methodology that is followed to evaluate and authorise operations.

(7) FLIGHT MODES

Describe the flight modes (i.e. manual, artificial stability with controller, automatic, autonomous). For each flight mode, describe the variable that controls the aircraft: increments in position, speed control, attitude control, type of altitude control (which sensor is used for this purpose), etc.

(8) GROUND CONTROL STATION

For ‘encrypted’ links, describe the encryption system used, if any.

(9) PAYLOAD

Describe each of the different payload configurations that affect the mission or that, without changing it, impact the weight and balance, the electrical charge or the flight dynamics. Include all relevant technical details. If needed, you may use other documents that provide the specified details.

(10) OPERATION LIMITS

Describe in this section the maximum operating height, the maximum airspeed (including Vmax ascent, Vmax descent and Vmax horizontal), and, in addition, the meteorological limit conditions in which the UAS can operate (e.g. rain, maximum wind, etc.)

(11) SAFETY SYSTEMS/SAFETY NETS AND AWARENESS

Describe the systems or equipment installed on the aircraft to mitigate potential operational safety risks, whether included in the form or not.

OPERATIONS MANUAL — TEMPLATE

When required in accordance with UAS.SPEC.030(3)(e), the OM should contain at least the information listed below, if applicable, customised for the area and type of operation.

0. Cover and contact.

0.1 Cover identifying the UAS operator with the title ‘Operations Manual’, contact information and OM revision number.

0.2 Table of contents.

1. Introduction

1.1 Definitions, acronyms and abbreviations.

1.2 System for amendment and revision of the OM (list the changes that require prior approval and the changes to be notified to the competent authority).

1.3 Record of revisions with effectivity dates.

1.4 List of effective pages (list of effective pages unless the entire manual is re-issued and the manual has an effective date on it).

1.5 Purpose and scope of the OM with a brief description of the different parts of the documents.

1.6 Safety statement (include a statement that the OM complies with the relevant requirements of Regulation (EU) 2019/947 and with the authorisation or the terms of approval of the light UAS operator certificate (LUC), in the case of a LUC holder, and contains instructions that are to be complied with by the personnel involved in flight operations).

1.7 Approval signature (the accountable manager must sign this statement).

2. Description of the UAS operator’s organisation (include the organigram and a brief description thereof).

3. Concept of operations (ConOps

For each operation, please describe the following:

3.1 Nature of the operation and associated risks (describe the nature of the activities performed and the associated risks).

3.2 Operational environment and geographical area for the intended operations (in general terms, describe the characteristics of the area to be overflown, its topography, obstacles etc., and the characteristics of the airspace to be used, and the environmental conditions (i.e. the weather and electromagnetic environment); the definition of the required operation volume and risk buffers to address the ground and air risks).

3.3 Technical means used (in general terms, describe their main characteristics, performance and limitations, including UAS, external systems supporting the UAS operation, facilities, etc.)

3.4 Competency, duties and responsibilities of personnel involved in the operations such as the remote pilot, UA observer, visual observer (VO), supervisor, controller, operations manager, etc. (initial qualifications; experience in operating UAS; experience in the particular operation; training and checking; compliance with the applicable regulations and guidance to crew members concerning health, fitness for duty and fatigue; guidance to staff on how to facilitate inspections by competent authority personnel).

3.5 Risk analysis and methods for reduction of identified risks (description of methodology used; bowtie presentation or other).

3.6 Maintenance (provide maintenance instructions required to keep the UAS in a safe condition, covering the UAS manufacturer’s maintenance instructions and requirements when applicable).

4. Normal procedures;

(The UAS operator should complete the following paragraphs considering the elements listed below. The procedures applicable to all UAS operations may be listed in paragraph 4.1.)

4.1 General procedures valid for all operations

4.2 Procedures peculiar to a single operation

5. Contingency procedures

(The UAS operator should complete the following paragraphs considering the elements listed below. The procedures applicable to all UAS operations may be listed in paragraph 5.1).

5.1 General procedures valid for all operations

5.2 Procedures peculiar to a single operation

6. Emergency procedures

(The UAS operator should define procedures to cope with emergency situations.)

7. Emergency response plan (ERP) (optional)

8. Security (security procedures referred to in UAS.SPEC.050(a)(ii) and (iii); instructions, guidance, procedures, and responsibilities on how to implement security requirements and protect the UAS from unauthorised modification, interference, etc.]

9. Guidelines to minimise nuisance and environmental impact referred to in UAS.SPEC.050(a)(v);

10. Occurrence reporting procedures according to Regulation (EU) No 376/2014.

11. Record-keeping procedures (instructions on logs and records of pilots and other data considered useful for the tracking and monitoring of the activity).

OPERATIONS MANUAL — TEMPLATE

A non-exhaustive list of topics to be considered by the UAS operator when compiling some chapters of the OM is provided below:

‘1.2  System for amendment and revision of the OM’

(a) A description of the system for indicating changes and of the methodology for recording effective pages and effectivity dates; and

(b) Details of the person(s) responsible for the revisions and their publication.

‘2 Description of the UAS operator’s organisation’

(a) The organisational structure and designated individuals. Description of the operator’s organisational structure, including an organisational chart showing the different departments, if any (e.g. flight/ground operations, operational safety, maintenance, training, etc.) and the head of each department;

(b) Duties and responsibilities of the management personnel; and

(c) Duties and responsibilities of remote pilots and other members of the organisation involved in the operations (e.g. payload operator, ground assistant, maintenance technician, etc.).

‘3.4 Competency, duties and responsibilities of personnel involved in the operations such as the remote pilot, UA observer, VO, supervisor, controller, operations manager etc.’

(a) Theoretical, practical (and medical) requirements for operating UAS in compliance with the applicable regulation;

(b) Training and check programme for the personnel in charge of the preparation and/or performance of the UAS operations, as well as for the VOs, when applicable;

(c) Training and refresher training records; and

(d) Precautions and guidelines involving the health of the personnel, including precautions pertaining to environmental conditions in the area of operation (policy on consumption of alcohol, narcotics and drugs, sleep aids and anti-depressants, medication and vaccination, fatigue, flight and duty period limitations, stress and rest, etc.).

‘5.1  General procedures valid for all operations’:

(a) Consideration of the following to minimise human errors:

(1) a clear distribution and assignment of tasks; and

(2) an internal checklist to check that staff are properly performing their assigned tasks.

(b) Consideration of the deterioration of external systems supporting the UAS operation; in order to assist in the identification of procedures related to the deterioration of external systems supporting the UAS operation, it is recommended to:

(1) identify the external systems supporting the operation;

(2) describe the deterioration modes of these external systems which would prevent the operator maintaining a safe operation of the UAS (e.g. complete loss of GNSS, drift of the GNSS, latency issues, etc.);

(3) describe the means put in place to detect the deterioration modes of the external systems; and

(4) describe the procedure(s) in place once a deterioration mode of one of the external systems is detected (e.g. activation of the emergency recovery capability, switch to manual control, etc.).

(c) Coordination between the remote pilot(s) and other personnel;

(d) Methods to exercise operational control; and

(e) Pre-flight preparation and checklists. These include, but are not limited to, the following points:

(1) The site of the operation:

(i) the assessment of the area of operation and the surrounding area, including, for example, the terrain and potential obstacles and obstructions for keeping a VLOS of the UA, potential overflight of uninvolved persons, potential overflight of critical infrastructure (a risk assessment of the critical infrastructure should be performed in cooperation with the responsible organisationfor the infrastructure, as they are most knowledgeable of the threats)

(ii) the assessment of the surrounding environment and airspace, including, for example, the proximity of restricted zones and potential activities by other airspace users;

(iii) when UA VOs are used, the assessment of the compliance between visibility and planned range, the potential terrain obstruction, and the potential gaps between the zones covered by each of the UA VOs; and

(iv) the class of airspace and other aircraft operations (local aerodromes or operating sites, restrictions, permissions).

(2) Environmental and weather conditions:

(i) environmental and weather conditions adequate to conduct the UAS operation; and

(ii) methods of obtaining weather forecasts.

(3) Coordination with third parties, if applicable (e.g. requests for additional permits from various agencies and the military when operating, for example, in environmentally protected areas, areas restricted to photographic flights, near critical infrastructure, in urban areas, emergency situations, etc.);

(4) the minimum number of crew members required to perform the operation, and their responsibilities;

(5) the required communication procedures between the personnel in charge of duties essential to the UAS operation, and with external parties when needed;

(6) compliance with any specific requirement from the relevant authorities in the intended area of operations, including those related to security, privacy, data and environmental protection, use of the RF spectrum; also considering cross-border operations (specific local requirements) when applicable;

(7) the required risk mitigations put in place to ensure the operation is safely conducted (e.g. a controlled ground area, securing the controlled ground area to avoid third parties entering the area during the operation, and ensuring coordination with the local authorities when needed, etc.); and

(8) procedures to verify that the UAS is in a condition to safely conduct the intended operation (e.g. update of geographical zones data for geo-awareness or geo-fencing systems; definition and upload of lost link contingency automatic procedures; battery status, loading and securing the payload;).

(f) Launch and recovery procedures;

(g) In-flight procedures (operating instructions for the UA (reference to or duplication of information from the manufacturer’s manual); instructions on how to keep the UA within the flight geography, how to determine the best flight route; obstacles in the area, height; congested environments, keeping the UA in the planned volume);

(h) Post-flight procedures, including the inspections to verify the condition of the UAS;

(i) Procedures for the detection of potentially conflicting aircraft by the remote pilot and, when required by the UAS operator, UA VOs; and

(j) Dangerous goods (limitations on their nature, quantity and packaging; acceptance prior to loading, inspecting packages for any evidence of leakage or damage).

‘5.2  Procedures peculiar to a single operation’

(a) Procedures to cope with the UA leaving the desired ‘flight geography’;

(b) Procedures to cope with the UA entering the ‘containment’ volume;

(c) Procedures to cope with uninvolved persons entering the controlled ground area, if applicable;

(d) Procedures to cope with adverse operating conditions (e.g. in case icing is encountered during the operation, if the operation is not approved for icing conditions);

(e) Procedures to cope with the deterioration of external systems supporting the operation. In order to help properly identify the procedures related to the deterioration of external systems supporting the UAS operation, it is recommended to:

(1) identify the external systems supporting the operation;

(2) describe the deterioration modes of these external systems which would prevent the operator maintaining a safe operation of the UAS (e.g. complete loss of GNSS, drift of the GNSS, latency issues, etc.);

(3) describe the means put in place to detect the deterioration modes of the external systems; and

(4) describe the procedure(s) in place once a deterioration mode of one of the external systems is detected (e.g. activation of the emergency recovery capability, switch to manual control, etc.).

(f) De-confliction scheme (i.e. the criteria that will be applied for the decision to avoid incoming traffic). In cases where the detection is performed by UA VOs, the phraseology to be used.

‘6 Emergency procedures’

(a) Procedures to avoid or, at least minimise, harm to third parties in the air or on the ground. With regard to the air risk, an avoidance strategy to minimise the collision risk with another airspace user (in particular, an aircraft with people on board); and

(b) Procedures for the emergency recovery of the UA (e.g. landing immediately, termination of the flight with FTS or a controlled crash/splash, etc.).

‘7. Emergency response plan (ERP)’

When the UAS operator develops an ERP, the following should be considered:

(a) it is expected to cover:

(1) the plan to limit crash-escalating effects (e.g. notify the emergency services and other relevant authorities); and

(2) the conditions to alert ATM.

(b) it is suitable for the situation;

(c) it limits the escalating effects;

(d) it defines criteria to identify an emergency situation;

(e) it is practical to use;

(f) it clearly delineates the responsibilities of the personnel in charge of duties essential to the UAS operation;

(g) it is developed to standards considered adequate by the competent authority and/or in accordance with means of compliance acceptable to that authority; and

(h) when considered appropriate by the competent authority, to be validated through a representative tabletop exercise53 The tabletop exercise may or may not involve all third parties identified in the ERP. consistent with the ERP training syllabus.

UAS.SPEC.040 Issuing of an operational authorisation

Regulation (EU) 2020/639

(1) When receiving an application in accordance with point UAS.SPEC.030, the competent authority shall issue, without undue delay, an operational authorisation in accordance with Article 12 when it concludes that the operation meets the following conditions:

(a) all information in accordance with point (3) of point UAS.SPEC.030 is provided;

(b) a procedure is in place for coordination with the relevant service provider for the airspace if the entire operation, or part of it, is to be conducted in controlled airspace.

(2) The competent authority shall specify in the operational authorisation the exact scope of the authorisation in accordance with Article 12.

OPERATIONAL AUTHORISATION TEMPLATE

The competent authority should produce the operational authorisation according to the following form:

Operational authorisation

1. AUTHORITY RELEASING THE AUTHORISATION

1.1 State of the UAS operator

 

1.2 Issuing authority

 

1.3 Contact person

Name

Telephone

Email

 

2. UAS operator data

2.1 UAS operator registration number

 

2.2 UAS operator name

 

2.3 Operational point of contact

Name

Telephone

Fax

Email

 

2.4 Authorisation number

 

3. Data of authorised UAS

3.1 Manufacturer

 

3.2 Model

 

3.3 Type certificate (TC) (if required)

 

3.4 Serial number or UA registration mark (for certified UAS)

 

3.5 Certificate of airworthiness (CofA) (if required)

 

3.6 Noise certificate (if required)

 

3.7 Requirements for continuing airworthiness

 

4. Limitations and conditions for the UAS operation

4.1 Authorised location(s)

 

4.2 Authorised airspace risk level

 

4.3 Operational limitations

 

4.4 Mitigation measures

 

4.5 Remote pilot competency

 

4.6 Competency of other staff essential for the safety of the UAS operation

 

4.7 Records to be kept

 

4.8 Type of events to be reported to the competent authority according to Regulation (EU) No 376/2014

 

4.9 Expiry date

 

The…………………… (2.2) is authorised to conduct UAS operations with the UA defined in Section 3 and according to the conditions and limitations defined in Section 4 if it complies with this authorisation, as well as with Annex IX to Regulation (EU) 2018/1139 and its implementing rules.

Date, signature and stamp

 

Instructions for filling in the form

1.1 Name of the State of the UAS operator.

1.2 Identification of the issuing competent authority.

1.3 Contact details of the person responsible for issuing the authorisation.

2.1 Registration information of the UAS operator in accordance with Article 14 of the UAS Regulation.

2.2 UAS operator’s registered first name and surname or, in the case of a legal entity, the business name.

2.3 The contact details include the telephone and fax numbers, including the country code, and the email address at which the accountable manager and the safety manager can be contacted.

2.4 Reference number, as issued by the competent authority.

3.1 Name of the manufacturer of the UAS.

3.2 Model of the UAS as defined by the manufacturer.

3.3 Include the EASA TC number if the competent authority requires the use of a UAS with an EASA TC.

3.4 Serial number of the UA defined by the manufacturer or UA registration mark if the competent authority requires the use of a UAS with an EASA TC.

3.5 If a UAS with an EASA type certificate (TC) is required, the UAS should have a certificate of airworthiness (CofA) and a noise certificate, and the competent authority should require compliance with the continuing-airworthiness rules.

4.1 Locations where the UAS operation has been authorised.

4.2 Characterisation of the authorised airspace (i.e. low risk — ARC-a, medium risk — ARC-b, high risk — ARC-c).

4.3 List the operational limitations, including at least:

             the maximum height;

             limitations on the payload;

             limitations on the operations (i.e. the possibility to hand over to another remote pilot during the flight);

             the minimum contents of the OM;

             the methodology to verify the operational procedures;

             the need for an emergency response plan (ERP);

             the maintenance requirements; and

             the record-keeping requirements.

4.4 List the mitigation measures (including the definition of a specific authorised flight path, if applicable)54 In case of cross-border UAS operations, this information will be revised by the NAA of the Member State of operation..

4.5 The minimum competency required for the remote pilot and the methodology to assess it.

4.6 The minimum competency required for the staff essential for the operation (i.e. maintenance staff, the launch and recovery assistant, UA AO, etc.) and the methodology to assess it.

Note: The signature and stamp may be provided in electronic form.

OPERATIONAL AUTHORISATION TEMPLATE

In order to facilitate mutual recognition in cases of cross-border operations, the competent authority should produce an English version of the operational authorisation.

UAS.SPEC.050 Responsibilities of the UAS operator

Regulation (EU) 2020/639

(1) The UAS operator shall comply with all of the following:

(a) establish procedures and limitations adapted to the type of the intended operation and the risk involved, including:

(i) operational procedures to ensure the safety of the operations;

(ii) procedures to ensure that security requirements applicable to the area of operations are complied with in the intended operation;

(iii) measures to protect against unlawful interference and unauthorised access;

(iv) procedures to ensure that all operations are in respect of Regulation (EU) 2016/679 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data. In particular it shall carry out a data protection impact assessment, when required by the National Authority for data protection in application of Article 35 of Regulation (EU) 2016/679;

(v) guidelines for its remote pilots to plan UAS operations in a manner that minimises nuisances, including noise and other emissions-related nuisances, to people and animals.

(b) designate a remote pilot for each flight or, in the case of autonomous operations, ensure that during all phases of the flight, responsibilities and tasks especially those defined in points (2) and (3) of point UAS.SPEC.060 are properly allocated in accordance with the procedures established pursuant to point (a);

(c) ensure that all operations effectively use and support the efficient use of radio spectrum in order to avoid harmful interference;

(d) ensure that before conducting operations, remote pilots comply with all of the following conditions:

(i) have the competency to perform their tasks in line with the applicable training identified by the operational authorisation or, if point UAS.SPEC.020 applies, by the conditions and limitations defined in the appropriate standard scenario listed in Appendix 1 or as defined by the LUC;

(ii) follow remote pilot training which shall be competency based and include the competencies set out in paragraph 2 of Article 8:

(iii) follow remote pilot training, as defined in the operational authorisation, for operations requiring such authorisation, it shall be conducted in cooperation with an entity designated by the competent authority;

(iv) follow remote pilot training for operations under declaration that shall be conducted in accordance with the mitigation measures defined by the standard scenario;

(v) have been informed about the UAS operator’s operations manual, if required by the risk assessment and procedures established in accordance with point (a);

(vi) obtain updated information relevant to the intended operation about any geographical zones defined in accordance with Article 15;

(e) ensure that personnel in charge of duties essential to the UAS operation, other than the remote pilot itself, comply with all of the following conditions:

(i) have completed the on-the-job-training developed by the operator;

(ii) have been informed about the UAS operator’s operations manual, if required by the risk assessment, and about the procedures established in accordance with point (a);

(iii) have obtained updated information relevant to the intended operation about any geographical zones defined in accordance with Article 15;

(f) carry out each operation within the limitations, conditions, and mitigation measures defined in the declaration or specified in the operational authorisation;

(g) keep and maintain an up-to-date record of:

(i) all the relevant qualifications and training courses completed by the remote pilot and the other personnel in charge of duties essential to the UAS operation and by the maintenance staff, for at least 3 years after those persons have ceased employment with the organisation or have changed their position in the organisation;

(ii) the maintenance activities conducted on the UAS for a minimum of 3 years;

(iii) the information on UAS operations, including any unusual technical or operational occurrences and other data as required by the declaration or by the operational authorisation for a minimum of 3 years;

(h) use UAS which, as a minimum, are designed in such a manner that a possible failure will not lead the UAS to fly outside the operation volume or to cause a fatality. In addition, Man Machine interfaces shall be such to minimise the risk of pilot error and shall not cause unreasonable fatigue;

(i) maintain the UAS in a suitable condition for safe operation by:

(i) as a minimum, defining maintenance instructions and employing an adequately trained and qualified maintenance staff; and

(ii) complying with point UAS.SPEC.100, if required;

(iii) using an unmanned aircraft which is designed to minimise noise and other emissions, taking into account the type of the intended operations and geographical areas where the aircraft noise and other emissions are of concern.

(j) establish and keep an up-to-date list of the designated remote pilots for each flight;

(k) establish and keep an up-to-date list of the maintenance staff employed by the operator to carry out maintenance activities; and

(l) ensure that each individual unmanned aircraft is installed with:

(i) at least one green flashing light for the purpose of visibility of the unmanned aircraft at night, and

(ii) an active and up-to-date remote identification system.

OPERATIONAL PROCEDURES

(a) The UAS operator should develop procedures as required by the standard scenario (STS) or by the operational authorisation.

(b) If a UAS operator employs more than one remote pilot, the UAS operator should:

(1) develop procedures for UAS operations in order to coordinate the activities between its employees; and

(2) compile and maintain a list of their personnel and their assigned duties.

(c) The UAS operator should allocate functions and responsibilities in accordance with the level of autonomy of the UAS during the operation.

OPERATIONAL PROCEDURES

The UAS operator should develop operational procedures based on the manufacturer’s recommendations, if available.

When the UAS operator is required to develop an OM in accordance with point UAS.SPEC.030(3)(e), the procedures should be included in that manual.

PROCEDURES TO ENSURE THAT ALL OPERATIONS ARE IN COMPLIANCE WITH REGULATION (EU) 2016/679 ON THE PROTECTION OF NATURAL PERSONS WITH REGARD TO THE PROCESSING OF PERSONAL DATA AND ON THE FREE MOVEMENT OF SUCH DATA

The UAS operator is responsible for complying with any applicable European Union and national rules, in particular, with regard to privacy, data protection, liability, insurance, security and environmental protection.

This GM has the purpose of providing guidance to the UAS operator to help them to identify and describe the procedures to ensure that the UAS operations are in compliance with Regulation (EU) 2016/679 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data.

Description of the procedures established by the UAS operator
to ensure that the UAS operation is in compliance with Regulation (EU) 2016/679

1. Identify the privacy risks1 that the intended operation may create

 

 

 

2. Define your role with respect to personal data collection and processing

  I am the (joint) data controller    I am the (joint) data processor

3. Data protection impact assessment (DPIA)

Have you assessed the need to perform a DPIA: Yes   No

If yes, do you have to perform a DPIA?  Yes   No - If yes, did you perform a DPIA?  Yes   No

4. Describe the measures you are taking to ensure data subjects are aware that their data may be collected6

 

 

 

5. Describe the measures you are taking to minimise the personal data you are collecting or to avoid collecting personal data7

 

 

 

6. Describe the procedure established to store the personal data and limit access to it

 

 

 

7. Describe the measures taken to ensure that data subjects can exercise their right to access, correction, objection and erasure

 

 

 

8. Additional information

 

 

 

Notes:

1. For guidance regarding the identification of the privacy risks of your operation, please check:

             The DR PRO online training course: Module 1 — Privacy risks in context; and

             The DR PRO Privacy-by-Design Guide: Privacy risks and safeguards in drone manufacturing (page 10).

2. For more information about definitions of personal data, please check:

             The DR PRO online training course: Module 2 – What is personal data? and

             The DR PRO Privacy Code of Conduct: 3. Glossary.

‘Data controller’ means that you make decisions about what personal data is collected and how it is collected, processed and stored.

‘Data processor’ means that you follow instructions from another entity on collecting, processing and storing personal data.

For more information about your potential role as data controller or data processor, you can check:

             The DR PRO online training course: Module 2 – Data protection Roles; and

             The DR PRO Privacy Code of Conduct for the responsibilities of data controllers.

3. For more information about when and how to conduct data protection impact assessments please check:

             The DR PRO Data Protection Impact Assessment template

4. For more information about how to inform data subjects about your activities you can check:

             The DR PRO Privacy Code of Conduct: 4.3.2 Act visibly and transparently;

             The DR PRO online training course: Module 3 – Carry out your operation; and

             The DR PRO Pre-flight checklist

5. For more information about the data minimisation principle, please check:

             The DR PRO Privacy Code of Conduct: 4.3.1 Minimise the impact on people’s privacy and data protection;

             The DR PRO Privacy-by-Design Guide: Drone Privacy Enhancing Software Features; and

             The DR PRO online training course: Module 3 – Risk mitigation strategies.

6. For guidance on the secure storage and access to personal data, please check:

             The DR PRO Privacy Code of Conduct: 4.4.2 Handle data securely;

             The DR PRO online training course: Module 2 – How should personal data be handled? and

             The DR PRO Privacy-by-Design Guide: Drone Privacy Enhancing Software Features.

7. For more information about the rights of data subjects, please check:

             The DR PRO Privacy Code of Conduct: 4.3.3 Respect the rights of individuals; and

             The DR PRO online training course: Module 2 – How should individuals be treated?

LEVEL OF AUTONOMY AND GUIDELINES FOR HUMAN-AUTONOMY INTERACTION

The concept of autonomy, its levels and human-autonomous system interactions are currently being discussed in various domains (not only in aviation), and no common understanding has yet been reached. Guidance will therefore be provided once this concept is mature and globally accepted.

Nevertheless, the risk assessment of autonomous operations should ensure, as for any other operations, that the risk is mitigated to an acceptable level.

Besides, it is expected that autonomous operations or operations with a high level of autonomy will be subject to authorisation and will not be covered by STSs until enough experience is gained.

THEORETICAL KNOWLEGDE SUBJECTS FOR REMOTE PILOT TRAINING FOR THE ‘SPECIFIC’ CATEGORY

(a) The ‘specific’ category may cover a wide range of UAS operations with different levels of risk. The UAS operator is therefore required to identify the competency required for the remote pilot and all the personnel in charge of duties essential to the UAS operation, according to the outcome of the risk assessment.

(b) When the UAS operation is conducted according to a STS listed in Appendix 1 to the UAS Regulation, the UAS operator must ensure that the remote pilot has the competency defined in the STS. In all other cases, the UAS operator may propose to the NAA, as part of the application, a theoretical knowledge training course for the remote pilot based on the elements listed in AMC1 UAS.OPEN.020(4)(b) and in UAS.OPEN.030(2), complemented by the following subjects:

(1) air safety:

(i) remote pilot records;

(ii) logbooks and associated documentation;

(iii) good airmanship principles;

(iv) aeronautical decision-making;

(v) aviation safety;

(vi) air proximity reporting; and

(vii) advanced airmanship:

(A) manoeuvres and emergency procedures; and

(B) general information on unusual conditions (e.g. stalls, spins, vertical lift limitations, autorotation, vortex ring states);

(2) aviation regulations:

(i) introduction to the ‘specific’ category;

(ii) risk assessment, introduction to SORA; and

(iii) overview of STSs and PDRA;

(3) navigation:

(i) navigational aids and their limitations (e.g. GNSS)

(ii) reading maps and aeronautical charts (e.g. 1:500 000 and 1:250 000, interpretation, specialised charts, helicopter routes, U-space service areas, and understanding of basic terms); and

(iii) vertical navigation (e.g. reference altitudes and heights, altimetry);

(4) human performance limitations:

(i) perception (situational awareness in BVLOS operations); and

(ii) fatigue:

(A) flight durations within work hours;

(B) circadian rhythms;

(C) work stress; and

(D) commercial pressures;

(iii) attentiveness:

(A) eliminating distractions; and

(B) scan techniques;

(iv) medical fitness (health precautions, alcohol, drugs, medication etc.); and

(v) environmental factors such as vision changes from orientation to the sun;

(5) operational procedures:

(i) airspace classifications;

(ii) procedures for airspace reservation;

(iii) aeronautical information publications;

(iv) NOTAMs; and

(v) mission planning, airspace considerations and site risk-assessment:

(A) measures to comply with the limitations and conditions applicable to the operational volume and the ground risk buffer for the intended operation; and

(B) BVLOS operations. Use of UA VOs;

(6) UAS general knowledge:

(i) loss of signal and system failure protocols — understanding the condition and planning for programmed responses such as returning to home, loiter, landing immediately;

(ii) flight termination systems; and

(iii) flight control modes;

(7) meteorology:

(i) obtaining and interpreting advanced weather information:

(A) weather reporting resources;

(B) reports;

(C) forecasts and meteorological conventions appropriate for typical UAS flight operations;

(D) local weather assessments;

(E) low-level charts; and

(F) METAR, SPECI, TAF;

(ii) regional weather effects — standard weather patterns in coastal, mountain or desert terrains; and

(iii) weather effects on the UA (wind, storms, mist, variation of wind with altitude, wind shear etc.); and

(8) emergency response plan (ERP) — the UAS operator should provide competency-based theoretical and practical training covering the ERP that includes the related proficiency requirements and recurrent training.

(c) The UAS operator may define additional aspects from the subjects mentioned in point (b) based on the UAS operations intended to be conducted:

(1) operational procedures;

(i) mission planning, airspace considerations and site risk-assessment — operations over a controlled ground area;

(ii) multi crew cooperation (MCC):

(A) coordination between the remote pilot and other personnel in charge of duties essential to the UAS operation (i.e. VO);

(B) crew resource management (CRM):

(a) effective leadership; and

(b) working with others;

(2) UAS general knowledge — the means supporting BVLOS operations:

(i) the means to monitor the UA (its position, height, speed, C2 Link, systems status, etc.);

(ii) the means of communication with VOs; and

(iii) the means to support air traffic awareness.

INFORMATION ABOUT THE UAS OPERATOR’S MANUAL

The UAS operator should ensure that the personnel in charge of duties essential to the UAS operation apply the procedures contained in the operator’s manual.

LOGGING OF FLIGHT ACTIVITIES AND RECORD-KEEPING

(a) An acceptable means to log and record the flight activities is to use a logbook, which may be electronic.

(b) The information to be recorded should be indicated in the declaration or in the operational authorisation, which may include the following:

(1) the identification of the UAS (manufacturer, model/variant (e.g. serial number);

NOTE: if the UAS is not subject to registration, the identification of the UAS may be done using the serial number of the UAS.

(2) the date, time, and location of the take-off and landing;

(3) the duration of each flight;

(4) the total number of flight hours/cycles;

(5) in the case of a remotely piloted operation, the name of the remote pilot responsible for the flight;

(6) the activity performed (add the reference to the STS or the authorisation number, as applicable);

(7) any significant incident or accident55 As defined by Regulation (EU) No 376/2014. that occurred during the operation;

(8) a completed pre-flight inspection;

(9) any defects and rectifications;

(10) any repairs and changes to the UAS configuration; and

(11) the information required to comply with UAS.SPEC.100.

(c) Records should be stored for 2 years in a manner that ensures their protection from unauthorised access, damage, alteration, and theft.

(d) The logbook can be generated in one of the following formats: electronic or paper. If the paper format is used, it should contain, in a single volume, all the pages needed to log the holder’s flight time. When one volume is completed, a new one will be started based on the cumulative data from the previous one.

UAS.SPEC.060 Responsibilities of the remote pilot

Regulation (EU) 2020/639

(1) The remote pilot shall:

(a) not perform duties under the influence of psychoactive substances or alcohol or when it is unfit to perform its tasks due to injury, fatigue, medication, sickness or other causes;

(b) have the appropriate remote pilot competency as defined in the operational authorisation, in the standard scenario defined in Appendix 1 or as defined by the LUC and carry a proof of competency while operating the UAS.

(c)  be familiar with manufacturer’s instructions provided by the manufacturer of the UAS.

(2) Before starting an UAS operation, the remote pilot shall comply with all of the following:

(a) obtain updated information relevant to the intended operation about any geographical zones defined in accordance with Article 15;

(b) ensure that the operating environment is compatible with the authorised or declared limitations and conditions;

(c) ensure that the UAS is in a safe condition to complete the intended flight safely, and if applicable, check if the direct remote identification is active and up-to-date;

(d) ensure that the information about the operation has been made available to the relevant air traffic service (ATS) unit, other airspace users and relevant stakeholders, as required by the operational authorisation or by the conditions published by the Member State for the geographical zone of operation in accordance with Article 15.

(3) During the flight, the remote pilot shall:

(a) comply with the authorised or declared limitations and conditions;

(b) avoid any risk of collision with any manned aircraft and discontinue a flight when continuing it may pose a risk to other aircraft, people, animals, environment or property;

(c) comply with the operational limitations in geographical zones defined in accordance with Article 15;

(d) comply with the operator’s procedures;

 (e) not fly close to or inside areas where an emergency response effort is ongoing unless they have permission to do so from the responsible emergency response services.

OPERATING ENVIRONMENT

(a) The remote pilot, or the UAS operator in the case of an autonomous operation, should check any conditions that might affect the UAS operation, such as the locations of people, property, vehicles, public roads, obstacles, aerodromes, critical infrastructure, and any other elements that may pose a risk to the safety of the UAS operation.

(b) Familiarisation with the environment and obstacles should be conducted through a survey of the area where the operation is intended to be performed.

(c) It should be verified that the weather conditions at the time when the operation starts and those that are expected for the entire period of the operation are compatible with those defined in the manufacturer’s manual, as well as with the operational authorisation or declaration, as applicable.

(d) The remote pilot should be familiar with the light conditions and make a reasonable effort to identify potential sources of electromagnetic energy, which may cause undesirable effects, such as EMI or physical damage to the operational equipment of the UAS.

THE UAS IS IN A SAFE CONDITION TO COMPLETE THE INTENDED FLIGHT

The remote pilot, or the operator in the case of an autonomous operation, should:

(a) update the UAS with data for the geo-awareness function if one is available on the UA;

(b) ensure that the UAS is fit to fly and complies with the instructions and limitations provided by the manufacturer;

(c) ensure that any payload carried is properly secured and installed, respecting the limits for the mass and CG of the UA;

(d) ensure that the UA has enough propulsion energy for the intended operation based on:

(i) the planned operation; and

(ii) the need for extra energy in case of unpredictable events; and

(e) for a UAS equipped with a loss-of-data-link recovery function, ensure that the recovery function allows a safe recovery of the UAS for the envisaged operation; for programmable loss-of-data-link recovery functions, the remote pilot may have to set up the parameters of this function to adapt it to the envisaged operation.

UAS.SPEC.070 Transferability of an operational authorisation

Regulation (EU) 2020/639

An operational authorisation is not transferable.

UAS.SPEC.080 Duration and validity of an operational authorisation

Regulation (EU) 2020/639

(1) The competent authority shall specify the duration of the operational authorisation in the authorisation itself.

(2) Notwithstanding point (1), the operational authorisation remains valid as long as the UAS operator remains compliant with the relevant requirements of this Regulation and with the conditions defined in the operational authorisation.

(3) Upon revocation or surrender of the operational authorisation the UAS operator shall provide an acknowledgment in digital format that must be returned to the competent authority without delay.

UAS.SPEC.085 Duration and validity of an operational declaration

Regulation (EU) 2020/639

The operational declaration shall have a limited duration of 2 years. The declaration shall no longer be considered as complete within the meaning of point (4) of point UAS.SPEC.020 if:

(1) during the oversight of the UAS operator, the competent authority has found that the UAS operation is not conducted in accordance with the operational declaration;

(2) the conditions of the UAS operation have changed to the extent that the operational declaration no longer complies with the applicable requirements of this Regulation;

(3) the competent authority is not granted access in accordance with point UAS.SPEC.090.

UAS.SPEC.090 Access

Regulation (EU) 2020/639

For the purpose of demonstrating compliance with this Regulation, an UAS operator shall grant to any person, that is duly authorised by the competent authority, an access to any facility, UAS, document, records, data, procedures or to any other material relevant to its activity, which is subject to operational authorisation or operational declaration, regardless of whether or not its activity is contracted or subcontracted to another organisation.

UAS.SPEC.100 Use of certified equipment and certified unmanned aircraft

Regulation (EU) 2020/639

(1) If the UAS operation is using an unmanned aircraft for which a certificate of airworthiness or a restricted certificate of airworthiness have been issued, or using certified equipment, the UAS operator shall record the operation or service time in accordance either with the instructions and procedures applicable to the certified equipment, or with the organisational approval or authorisation.

(2) The UAS operator shall follow the instructions referred to in the unmanned aircraft certificate or equipment certificate, and also comply with any airworthiness or operational directives issued by the Agency.

GENERAL

For the purposes of UAS.SPEC.100, ‘certified equipment’ is considered to be any equipment for which the relevant design organisation has demonstrated compliance with the applicable certification specifications and received a form of recognition from EASA that attests such compliance (e.g. an ETSO authorisation). This process is independent from the CE marking process.

The use of certified equipment or certified UA in the ‘specific’ category of operation does not imply a transfer of the flight activities into the ‘certified’ category of operation. However, the use of certified equipment or certified UA in the ‘specific’ category should be considered as a risk reduction and/or mitigation measure in the SORA.