SOUTH DAKOTA STATE UNIVERSITY Policy and Procedure Manual
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1 Office/Contact: Division of Research and Economic Development Source: Federal Aviation Administration (FAA) UAS Regulations and Policies; SDBOR Policy 1:30; FAA Modernization and Reform Act of 2012 (P.L ) Link: publ95/content-detail.html Associated Forms: UAS Operations Request Form SUBJECT: Unmanned Aircraft Systems (UAS) NUMBER: 8:10 SOUTH DAKOTA STATE UNIVERSITY Policy and Procedure Manual 1. Purpose This policy and its procedures implement SDBOR Policy 1:30 and set forth the appropriate and lawful use of unmanned aircraft systems at the University. 2. Definitions a. Civil UAS Operations Non Governmental: Any operation that does not meet the statutory criteria for Public UAS Operation. b. Model UAS Operations: UAS operated by individuals for hobby or recreational purposes are considered model aircrafts. Model aircraft operations do not generally require special FAA approval, so long as they adhere to certain statutory parameters. Ownership and use of UAS by entities do not generally fall within these hobby or recreational purposes parameters. c. Public UAS Operations: Include those aircraft owned and operated by government or public entities as set forth by 49 U.S.C (a)(41), for governmental purposes as set forth by 49 U.S.C , and these provisions regulatory implementations and updates and amendments thereto. d. Small Unmanned Aircraft: Unmanned aircraft weighing less than 55 pounds, inclusive of payloads as set forth by the FAA Modernization and Reform Act of e. Unmanned Aircraft Systems ( UAS ): Unmanned aircraft and their associated elements (including communication links and the components that control the unmanned aircraft) that are required for the pilot in command to operate safely and efficiently in the national airspace system. Unmanned Aircraft Systems (UAS) Page 1 of 7
2 3. Policy a. Pursuant to SDBOR Policy 1:30, the University permits the use of UAS to support its administrative, research, instructional, and service functions in accordance with FAA regulations. b. The FAA has jurisdiction over all navigable airspace in the United States. The mission of the FAA is to ensure the safe and efficient management of the national airspace system. All aircraft, whether manned or unmanned, are subject to FAA rules and regulations. c. The FAA classifies all aircraft operated by entities as belonging to one (1) of two (2) categories of operation: Public UAS Operations or Civil UAS Operations. i. A third category of UAS operations, Model UAS Operations, are not conducted by public or civil entities and, if operated within the regulatory parameters, do not generally require special FAA approval for their hobby or recreational use other than registration of operators of small unmanned aircraft. d. The Division of Research and Economic Development, or successor office, is designated as the University s office to assume responsibility for overseeing institutional UAS compliance and is responsible for the following: i. Receiving, reviewing, deciding, and responding to requests from individuals for Model UAS Operations; ii. Handling requests to pursue University Civil UAS Operations and Public UAS Operations; iii. Where the cognizant University administrators determine that the investment in the technology, its operation and maintenance is justified, making arrangements to submit a Certificate of Authorization ( COA ) or 333 application; and iv. Upon receipt of authorization from the FAA, for monitoring the University s compliance with FAA training, operations, maintenance, insurance, recordkeeping, and other regulatory requirements. e. The Division of Research and Economic Development is also responsible for organizing and maintaining a UAS advisory committee, which will consist of and provide advice and feedback on UAS requests. i. The UAS advisory committee shall consist of no fewer than six (6) individuals including two (2) faculty members, one of whom has a pilot s license, one (1) representative from Facilities and Services, one (1) representative from the Office of Safety & Security, the University Pilot, and the Research Compliance Coordinator, or successor. f. University Usage of UAS Pursuant to a COA i. The FAA may grant permission to the University for Public UAS Operations, so long as their use qualifies as a government function under 49 U.S.C and Unmanned Aircraft Systems (UAS) Page 2 of 7
3 amendments thereto. In order for an administrative unit within the University to operate UAS for a government function, the University must apply for and be granted a COA from the FAA to enable operation of a UAS. ii. Public UAS Operations pursuant to a COA may include research in furtherance of its institutional mission, institutional security, facilities maintenance, institutional relations, and activities provided to the public at no cost incidental to the University s public service mission. iii. Public UAS Operations pursuant to a COA are only available to government agencies or public entities for operations that are considered public aircraft operations. COAs cannot be granted to the University for education or training since these applications are considered commercial in nature and therefore require a 333 waiver instead. iv. A COA is granted to the University and not to a specific individual. Data acquired through a Public UAS Operation belongs to the University and not to an individual. v. Requirements the University must meet in order to use UAS for government uses include the following: 1. The University must obtain a COA from the FAA for governmental uses or other FAA exceptions or authorizations prior to use; 2. Insurance coverage must be obtained and in effect; 3. Each person controlling the UAS must receive Operator Training, must register with the FAA, and must file their FAA UAS Certificate number with the University. Some operations may require a trained observer; and 4. The University will establish and document such additional training, maintenance, logging and control procedures as may be required under FAA policy and guidance. g. Civil UAS Operations Pursuant to a 333 Exemption from General Rules Governing Civil Aviation i. UAS operations for nongovernmental civil (commercial) purposes requires a certified and registered aircraft, a licensed pilot, and operational approval through an exemption petition process. ii. Section 333 of the FAA Modernization and Reform Act of 2012 grants the Secretary of Transportation the authority to determine whether an airworthiness certificate is required for UAS to operate safely. These regulations are inclusive of experimental aircraft and UAS developed by entities. When a petitioner has demonstrated that adequate safety measures are in place, the FAA may grant an exemption that would allow UAS operation for commercial purposes. iii. Commercial purposes involve uses including, but not limited to, education, training, marketing, news, promotional research, and public service. Unmanned Aircraft Systems (UAS) Page 3 of 7
4 iv. Requirements the University must meet for Civil UAS Operation purposes include the following: 1. The University must obtain a 333 exemption for civil operations by demonstrating that the UAS can be operated safely within an assigned area and cause no harm to the public; 2. Insurance coverage must be obtained; 3. Each person controlling the UAS must receive Operator Training and be a licensed pilot, unless otherwise excepted by law, and some operations may require a trained observer; and The University must establish and document such additional training, maintenance, logging and control procedures as may be required under FAA policy and guidance. h. Private Use of Model Aircraft and UAS Usage within the University Airspace i. A Small UAS operated for hobby or recreational purposes by individuals or other UAS devices may not be operated over University airspace without prior written permission of the Research Compliance Coordinator, or successor, and may never be operated in ways that interfere with the use of University grounds. ii. Permission to use UAS may be requested through the Division of Research and Economic Development, or successor office. iii. The following restrictions apply to the time, place, and manner private in which Small UAS devices within the University airspace are operated: 1. Only with prior permission from the Research Compliance Coordinator; 2. Only during daylight hours; 3. Within full view and control of operator; 4. Not during outdoor University events; 5. Not over outdoor athletic facilities or any portion of the campus grounds within a 1,320 foot radius of the facility; 6. Not within 300 feet of buildings; 7. Not within 150 feet of persons or animals; and 8. Not in a manner that interferes with ground vehicles or traffic. iv. For purposes of this section, University airspace includes that portion of the air space between the surface of the ground and 300 feet above the ground or above a building or structure erected on the property. v. For purposes of this section, all use other than use by the University is private use. Students, student organizations, employees, or employee organizations may conduct Model UAS Operations only after permission is first obtained from the Research Compliance Coordinator, or successor. i. UAS Operations Indoors i. Approved University UAS operations may occur inside of University facilities to support the University s mission areas. Indoor spaces are not deemed to be navigable airspace by the FAA and therefore do not require a COA or 333 Unmanned Aircraft Systems (UAS) Page 4 of 7
5 4. Procedures exemption. A UAS may not be operated inside of University controlled facilities without prior written permission of the Research Compliance Coordinator, or successor, and may never be operated in ways that interfere with the use of University facilities or operations. The Research Compliance Coordinator, or successor, will confer with University Facilities and Services to determine if an indoor space is suitable for UAS operations and with the Division of Technology and Safety to determine appropriate safety measures that must be implemented before operations may commence. ii. Permission to use UAS indoors may be requested through the Division of Research and Economic Development, or successor office. iii. The following restrictions apply to the time, place, and manner that UAS devices are operated indoors: 1. Only with prior written permission; 2. Only during specific approved hours; 3. Only UAS devices of 3 pounds or less may be used; 4. Not during indoor University events; 5. Only in a manner that ensures human and animal safety; 6. Only with approved persons in the indoor space; and 7. Not in a manner that interferes with facility operations. iv. Private operations of UAS will not be permitted indoors in University facilities. j. This policy and its procedures are to be read in conjunction with University and SDBOR policies regarding conduct while on University grounds and utilizing University resources. a. Public, Civil, and Indoor UAS Operations Process i. University employees that intend to conduct a UAS operation must first complete a UAS Operations Request Form. The form will be routed to the employee s Department Head, Dean, and is then submitted to the Research Compliance Coordinator, or successor, for approval. Proof of operator and observer training shall be provided with the form. ii. Initial approval by the Research Compliance Coordinator, or successor, and UAS advisory committee, if appropriate, will initiate the requesting employees to begin preparation of a COA or 333 application. The materials provided to the Research Compliance Coordinator, or successor will include: 1. Identification of the type of UAS operation to be conducted (Public or Civil); 2. An explanation and justification of the nature of the University function supported by the use of UAS, objectives of the work to be undertaken, and other relevant information; Unmanned Aircraft Systems (UAS) Page 5 of 7
6 3. Type of UAS to be used, including any applicable FAA registration identification, and the manner in which it will be operated; 4. Type of data collected and plan for collected data; 5. Person(s) who will be operating, and as appropriate, observing the UAS and their proof of training; 6. A description of personal safety equipment that will be used; 7. Schedule of the activities to be undertaken; 8. Sources and nature of financial support; 9. A plan for emergency and accident response; 10. The creation and maintenance of logs of all flights and all data files collected; 11. The creation and maintenance of operator file(s) and manuals with proof of training; and 12. Assurety that insurance will be obtained. iii. The Research Compliance Coordinator, or successor, will officially submit all COA and 333 applications on behalf of the University and will maintain oversight for the execution of approved waivers held by the University. iv. The Research Compliance Coordinator, or successor, will maintain a repository of successful COA and 333 applications for new applicants to consult and will attempt to answer questions related to the FAA processes and direct University employees to other personnel who may be able to provide additional guidance. However, as noted above, the administrative unit proposing to use the UAS is responsible for completing the internal application checklist and drafting the applications. b. Private Use of Model UAS Process i. A UAS Operations Request Form must be completed by the proposing individual and submitted to the Research Compliance Coordinator, or successor, for approval. The narrative must include the following: 1. Proposed activity within proper time, place, and manner restrictions; 2. An explanation of why the Model UAS Operation must take place in University airspace; 3. Type of UAS to be utilized and the manner in which they will be operated; 4. Person(s) who will be operating the UAS and proof of any required training; 5. Schedule of the activities to be undertaken; 6. Type of data, if collected, and plan for collected data; review of justifications for any proposed data collection; 7. Creation and maintenance of logs of all flights and all data files collected; 8. Creation and maintenance of operator file(s) with proof of any required training; 9. Copy of approved COA or 333 exemption if required; and 10. Proof of insurance. Unmanned Aircraft Systems (UAS) Page 6 of 7
7 ii. The Research Compliance Coordinator, or successor, will work with responsible departments for facility and grounds scheduling, as well as security needs, in accordance with University and SDBOR policies and procedures to inform the approval of and to set forth the requirements for the approved Private Use of Model UAS at the University. iii. Proper authorization will be granted in writing, which may include requirement of a written contract. c. Purchase of UAS, Contracts for Third Party Operation, and Legal Services i. Purchase of UAS insurance, equipment, software, and related items requires the prior approval by the Vice President for Research and Economic Development, designee, or successor, and to the extent the purchase entails information technology systems resources, the Vice President for Technology and Security, designee, or successor as well as compliance with standard purchasing rules and regulations. ii. Contracts for Third Party Operations of UAS at the University are subject to this policy; all rules, regulations, and policies applicable to contracts; and final approval by the Vice President for Research and Economic Development, designee, or successor. iii. Outside legal services for University COA and 333 exemption processing will be coordinated by the University Office of General Counsel. d. Reporting Obligations 5. Responsible Administrator i. UAS operators and any observers are obligated to report accidents and emergencies involving UAS operations to the Vice President for Research and Economic Development, designee, or successor and University risk management personnel within twenty-four (24) hours of incident. Emergencies requiring immediate assistance should be reported to local emergency response and the University Police Department by calling 911. ii. UAS operators are required to maintain records and logs as required for the lawful operation of the properly authorized UAS and maintain in accordance with record retention protocols and applicable law. UAS operators shall comply with all applicable reporting provisions. The Vice President for Research and Economic Development, successor, or designee is responsible for biennial and ad hoc review of this policy and its procedures. The University President is responsible for approval of this policy. SOURCE: Approved by President on 04/15/2016. Unmanned Aircraft Systems (UAS) Page 7 of 7
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