UTM Guidance

UTM - A Common Framework with Core Boundaries for Global Harmonization - Edition 3 (click link above for complete pdf document)
Overview
Forward	To meet demand, States and regulators are being innovative and proactive when approving unmanned aircraft systems traffic management (UTM) proposals; however, without sufficient international harmonization, this may impact safety, security, the environment, system reliability and economic efficiency. Through UTM, it is envisaged that civil aviation authorities (CAAs) and ANSPs, to the extent they are involved, will be able to provide real-time information regarding airspace constraints and flight intents available to UAS operators, and their remote pilots, directly or through a UTM service provider (USP). The UAS operator would then be responsible for managing their operations safely within these constraints without receiving positive air traffic control services from the ANSP. While UTM, as a concept, is already under development, a common agreement on its framework and principles is essential to ensuring global harmonization and interoperability. To achieve this, ICAO is leading efforts by States, UAS industry leaders, academic institutions, and aviation professionals towards the development of this framework for UTM.
Scope	This document is intended to provide States that are considering the implementation of a UTM system, with a framework and core capabilities of a "typical" UTM system. Any such UTM system must be able to interact with the air traffic management (ATM) system in the short term and integrate with the ATM system in the long term. The introduction and management of unmanned traffic as well as the development of associated UTM infrastructure should not negatively affecting the safety or efficiency of the existing ATM system. A common framework is needed to facilitate harmonization between UTM systems globally and provide a stepped approach towards integration into the ATM system. This would enable industry, including manufacturers, service providers and end users to grow safely and efficiently without disrupting the existing manned aviation system. The following sections propose a common set of guiding principles and enabling actions. There are several components of a safe and effective UTM system that may not yet be addressed in this version of the framework, such as design and certification standards of the UA, integration of UA operations in ATM and potentially high-altitude airspace UTM systems. It should be noted, however, that future editions of this framework may address these issues, building on the foundation established by previous editions of the UTM Framework as well as the information gathered by ICAO through the UTM request for information (RFI) process related to the DRONE ENABLE symposia.
UTM Principles	The aim of UTM is the safe, economical and efficient management of UAS operations through the provision of facilities and a seamless set of services in collaboration with all parties and involving airborne and ground-based functions. Like ATM, a UTM system would provide the collaborative integration of humans, information, technology, facilities and services, supported by air, ground and/or space-based communications, navigation and surveillance. UTM systems are therefore envisaged to be interoperable and consistent with existing ATM systems in order to facilitate safe, efficient and scalable operations. Although system-level requirements for UTM systems have not yet been developed, core principles can be established that will guide their development. There are also numerous principles that exist in the current ATM structure that are applicable to UTM services. Where a State is considering the issuance of an operational approval for a UTM system, there are numerous factors which should be assessed.
Enabling or Complimentary Activities	In addition to the key enablers of registration and identification, communications and geo-awareness/geo-fencing, discussed in this framework, the safe operation of UAS – and BVLOS operations in particular – in a UTM system will depend on a range of supportive and enabling capabilities. UTM systems are envisaged to provide some of these, but they will require enabling policy and regulatory frameworks which take into account emerging technological solutions. Many of these actions can be addressed by States in preparation for the implementation of a UTM system.
List of Potential Services	The UTM system could be considered as a collection of services, among other features, intended to ensure safe and efficient operations of UA within the UTM-authorized volume of airspace and which is in compliance with regulatory requirements. UAS operations may occur in uncontrolled and controlled airspace, with each type of airspace potentially requiring specific services. When UAS operations occur in controlled airspace, UAS operators and/or the remote pilot would be required to follow the procedures and requirements for the airspace, unless an exemption or alternate procedures have been established relieving those operating in the UTM system from the established airspace rules. While this document does not specify technologies associated with these services, it intends to provide suggested types of services.
Gaps, Issues and Challenges	The safe and efficient integration of UAS, particularly small UA, into existing airspace, presents numerous challenges. Indeed, recent studies forecast significant growth of UAS operations, leading to a shift of focus to operations in the low-level environment and over populated areas, with a variety of types operations and UA. This section includes a discussion on the many gaps, issue and challenges that must be addressed to enable safe UAS operations within the UTM system.
Conclusion	ICAO continues its tasking as a global aviation forum, to support States, UAS industry leaders, academic and aviation professionals, exploring the current state-of-the-art for UTM and using that information to develop the framework and core principles of UTM. This framework is not intended to endorse or propose any specific UTM system design or technical solutions to the UTM challenge but instead to provide an overarching framework for such a system. The intent is for this to be a living document and as new or additional information is gained, the UTM framework will be updated. The developmental nature of UTM makes it difficult to predict how a follow-on framework would be organized, validated, and certificated. Continued participation from industry and/or future business advocates will be necessary to explore the minimal set of safety issues in product deployment/development that will have the potential to achieve global interoperability.

UTM - A Common Framework with Core Boundaries for Global Harmonization - Edition 3

(click link above for complete pdf document)

Overview

Forward

To meet demand, States and regulators are being innovative and proactive when approving unmanned aircraft systems traffic management (UTM) proposals; however, without sufficient international harmonization, this may impact safety, security, the environment, system reliability and economic efficiency.

Through UTM, it is envisaged that civil aviation authorities (CAAs) and ANSPs, to the extent they are involved, will be able to provide real-time information regarding airspace constraints and flight intents available to UAS operators, and their remote pilots, directly or through a UTM service provider (USP). The UAS operator would then be responsible for managing their operations safely within these constraints without receiving positive air traffic control services from the ANSP.

While UTM, as a concept, is already under development, a common agreement on its framework and principles is essential to ensuring global harmonization and interoperability. To achieve this, ICAO is leading efforts by States, UAS industry leaders, academic institutions, and aviation professionals towards the development of this framework for UTM.

Scope

This document is intended to provide States that are considering the implementation of a UTM system, with a framework and core capabilities of a "typical" UTM system. Any such UTM system must be able to interact with the air traffic management (ATM) system in the short term and integrate with the ATM system in the long term. The introduction and management of unmanned traffic as well as the development of associated UTM infrastructure should not negatively affecting the safety or efficiency of the existing ATM system. A common framework is needed to facilitate harmonization between UTM systems globally and provide a stepped approach towards integration into the ATM system. This would enable industry, including manufacturers, service providers and end users to grow safely and efficiently without disrupting the existing manned aviation system. The following sections propose a common set of guiding principles and enabling actions.

There are several components of a safe and effective UTM system that may not yet be addressed in this version of the framework, such as design and certification standards of the UA, integration of UA operations in ATM and potentially high-altitude airspace UTM systems. It should be noted, however, that future editions of this framework may address these issues, building on the foundation established by previous editions of the UTM Framework as well as the information gathered by ICAO through the UTM request for information (RFI) process related to the DRONE ENABLE symposia.

UTM Principles

The aim of UTM is the safe, economical and efficient management of UAS operations through the provision of facilities and a seamless set of services in collaboration with all parties and involving airborne and ground-based functions. Like ATM, a UTM system would provide the collaborative integration of humans, information, technology, facilities and services, supported by air, ground and/or space-based communications, navigation and surveillance.

UTM systems are therefore envisaged to be interoperable and consistent with existing ATM systems in order to facilitate safe, efficient and scalable operations. Although system-level requirements for UTM systems have not yet been developed, core principles can be established that will guide their development. There are also numerous principles that exist in the current ATM structure that are applicable to UTM services.

Where a State is considering the issuance of an operational approval for a UTM system, there are numerous factors which should be assessed.

Enabling or Complimentary Activities

In addition to the key enablers of registration and identification, communications and geo-awareness/geo-fencing, discussed in this framework, the safe operation of UAS – and BVLOS operations in particular – in a UTM system will depend on a range of supportive and enabling capabilities. UTM systems are envisaged to provide some of these, but they will require enabling policy and regulatory frameworks which take into account emerging technological solutions. Many of these actions can be addressed by States in preparation for the implementation of a UTM system.

List of Potential Services

The UTM system could be considered as a collection of services, among other features, intended to ensure safe and efficient operations of UA within the UTM-authorized volume of airspace and which is in compliance with regulatory requirements. UAS operations may occur in uncontrolled and controlled airspace, with each type of airspace potentially requiring specific services. When UAS operations occur in controlled airspace, UAS operators and/or the remote pilot would be required to follow the procedures and requirements for the airspace, unless an exemption or alternate procedures have been established relieving those operating in the UTM system from the established airspace rules.

While this document does not specify technologies associated with these services, it intends to provide suggested types of services.

Gaps, Issues and Challenges

The safe and efficient integration of UAS, particularly small UA, into existing airspace, presents numerous challenges. Indeed, recent studies forecast significant growth of UAS operations, leading to a shift of focus to operations in the low-level environment and over populated areas, with a variety of types operations and UA.

This section includes a discussion on the many gaps, issue and challenges that must be addressed to enable safe UAS operations within the UTM system.

Conclusion

ICAO continues its tasking as a global aviation forum, to support States, UAS industry leaders, academic and aviation professionals, exploring the current state-of-the-art for UTM and using that information to develop the framework and core principles of UTM.

This framework is not intended to endorse or propose any specific UTM system design or technical solutions to the UTM challenge but instead to provide an overarching framework for such a system. The intent is for this to be a living document and as new or additional information is gained, the UTM framework will be updated.

The developmental nature of UTM makes it difficult to predict how a follow-on framework would be organized, validated, and certificated. Continued participation from industry and/or future business advocates will be necessary to explore the minimal set of safety issues in product deployment/development that will have the potential to achieve global interoperability.

If you have any comments or suggestions regarding the UTM - A Common Framework with Core Boundaries for Global Harmonization guidance material, we would appreciate a message at DRONEENABLE@icao.int.