ASTM F3178-16
(Practice)Standard Practice for Operational Risk Assessment of Small Unmanned Aircraft Systems (sUAS)
Standard Practice for Operational Risk Assessment of Small Unmanned Aircraft Systems (sUAS)
SIGNIFICANCE AND USE
5.1 Use—This practice is intended for use by parties who desire access to the national, or international, airspace as regulated by their respective CAA(s) either for a vehicle design (airworthiness) or a vehicle’s use (operational approval). In this practice, it is recognized the varying levels of complexity, need for risk assessment(s), and due diligence that should be determined in an ongoing dialogue between the CAA and the applicant. Users should consider their requirements, the purpose that the ORA is to serve, and their risk acceptance level before undertaking the ORA. Use of this practice does not preclude other initiatives or processes to identify hazardous conditions or assess and mitigate associated risks.
5.2 Risk Reduced, not Eliminated—No ORA can eliminate all risk or uncertainty with regard to operations. Preparation of an ORA in accordance with this practice is intended to reduce, but may not necessarily completely eliminate, the risk of an operation in which system complexity is minimal, the operation is conducted in a lower risk environment, and the likelihood for harm to people or property, though present, is reduced to an acceptable level. As mission complexity increases, the operational environment may become less risk tolerant. For example, as the kinetic energy associated with the aircraft increases, more complex assessment/analysis tools and greater time may be required to conduct the ORA.
SCOPE
1.1 This practice focuses on preparing operational risk assessments (ORAs) to be used for supporting small unmanned aircraft systems (sUAS) (aircraft under 55 lb (25 kg)) design, airworthiness, and subsequent operational applications to the civil aviation authority (CAA).
1.2 It is expected that manufacturers and developers of larger/higher energy sUAS designs, intended to operate in controlled airspace over populated areas, will adopt many of the existing manned aircraft standards in use. These include standards such as SAE ARP4754A and ARP4761, which prescribe a “design for safety” top-down design approach to ensure the sUAS designs can reasonably meet more stringent qualitative and quantitative safety requirements. The ORA, however, remains the same for all risk profiles and will be a part of any sUAS operation.
1.3 In mitigating and preventing incidents and accidents, it is understood that people generally do not seek to cause damage or injure others, and therefore, malicious acts are beyond the scope of this practice.
1.4 As part of the ORA, the applicant should clearly understand and be able to articulate their intended mission for purposes of assessing safety and providing information to regulators. This documentation of a sUAS operation (mission, or set of missions) is what many refer to as a concept of operations (CONOPS).
1.5 This practice is intended primarily for sUAS applicants seeking approval or certification for airworthiness or operations from their respective CAA, though sUAS manufacturers may consider this practice, along with other system safety design standards, as appropriate to identify sUAS design and operational requirements needed to mitigate hazards.
1.6 Units—The values stated in inch-pound units are to be regarded as the standard. The values given in parentheses are mathematical conversions to SI units that are provided for information only and are not considered standard.
1.7 This standard does not purport to address all of the safety concerns, if any, associated with its use. It is the responsibility of the user of this standard to establish appropriate safety and health practices and determine the applicability of regulatory limitations prior to use.
General Information
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Standards Content (Sample)
This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
Designation: F3178 − 16
Standard Practice for
Operational Risk Assessment of Small Unmanned Aircraft
1
Systems (sUAS)
This standard is issued under the fixed designation F3178; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
INTRODUCTION
An operational risk assessment (ORA) offers to an applicant of small unmanned aircraft systems
(sUAS) a standardized approach to examine their operations for potential hazards and assess those
hazards for risk. The ORA is then used to mitigate or avoid risks associated with those hazards to
achieve acceptable levels of safety. ORAis a key component of operational risk management (ORM),
which seeks to identify hazards endemic to an operation, assign risks to those hazards based on
quantitative and qualitative analysis, and mitigate unacceptable levels of risk. The main functions of
the ORM are to: (1) Minimize risk to acceptable levels while providing a method to manage resources
effectively; (2) Enhance decision-making skills based on systematic, reasoned, and repeatable
processes; (3) Provide systematic structure to perform risk assessments; (4) Provide an adaptive
process for continuous feedback through planning, preparation, and execution; and (5) Identify
feasible and effective control measures, particularly where specific standards do not exist.
Through a risk-based approach to operations, design, and airworthiness, an applicant can quickly
understand the operational environment and threats to the operation. The ORA offers a methodology
toidentifysystemandoperationalhazards,applyquantitativeandqualitativeanalysistothosehazards,
analyze the outputs of the ORA, and then apply appropriate mitigations to satisfy safety of flight
requirements.
The ORA is an integral component of any sUAS application and is an important tool for gaining
access to the national airspace, or especially into increasingly higher risk environments, such as
controlled airspace where other manned aircraft are likely to be present.
1. Scope qualitative and quantitative safety requirements. The ORA,
however, remains the same for all risk profiles and will be a
1.1 This practice focuses on preparing operational risk
part of any sUAS operation.
assessments(ORAs)tobeusedforsupportingsmallunmanned
aircraft systems (sUAS) (aircraft under 55 lb (25 kg)) design,
1.3 In mitigating and preventing incidents and accidents, it
airworthiness, and subsequent operational applications to the
is understood that people generally do not seek to cause
civil aviation authority (CAA).
damage or injure others, and therefore, malicious acts are
1.2 It is expected that manufacturers and developers of
beyond the scope of this practice.
larger/higher energy sUAS designs, intended to operate in
1.4 As part of the ORA, the applicant should clearly
controlled airspace over populated areas, will adopt many of
understand and be able to articulate their intended mission for
the existing manned aircraft standards in use. These include
purposes of assessing safety and providing information to
standards such as SAE ARP4754A and ARP4761, which
regulators. This documentation of a sUAS operation (mission,
prescribe a “design for safety” top-down design approach to
or set of missions) is what many refer to as a concept of
ensure the sUAS designs can reasonably meet more stringent
operations (CONOPS).
1
This practice is under the jurisdiction ofASTM Committee F38 on Unmanned
1.5 This practice is intended primarily for sUAS applicants
Aircraft Systems and is the direct responsibility of Subcommittee F38.02 on Flight
seeking approval or certification for airworthiness or opera-
Operations.
tions from their respective CAA, though sUAS manufacturers
Current edition approved Nov. 1, 2016. Published January 2017. DOI: 10.1520/
F3178-16. may consider this practice, along with other system safety
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
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F3178 − 16
design standards, as appropriate to identify sUAS design and (RPIC)orvisualobserver(VO))responsibleforcontrollingthe
operational requirements needed to mitigate hazards. flight of the small unmanned aircraft (sUA) cannot maintain
direct visual contact with the sUA unaided other than by
1.6 Units—The values stated in inch-pound units are to be
corrective lenses (spectacles or contact lenses) or sunglasses or
regarded
...
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